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Name | Symbol | Market | Type |
---|---|---|---|
Special Opportunities Fund Inc | NYSE:SPE-B | NYSE | Preference Share |
Price Change | % Change | Price | High Price | Low Price | Open Price | Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 29.28 | 0 | 01:00:00 |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM NPORT-P Monthly Portfolio Investments Report |
Confidential | ☐ |
Filer CIK | 0000897802 |
Filer CCC | ******** |
Filer Investment Company Type | |
Is this a LIVE or TEST Filing? | ☐ LIVE ☐ TEST |
Would you like a Return Copy? | ☐ |
Is this an electronic copy of an official filing submitted in paper format? | ☐ |
Name | |
Phone | |
E-Mail Address |
Notify via Filing Website only? | ☐ |
Notification E-mail Address | |
Series ID |
Class (Contract) ID |
a. Name of Registrant | Special Opportunities Fund, Inc. |
b. Investment Company Act file number for Registrant: (e.g., 811-______) | 811-07528 |
c. CIK number of Registrant | 0000897802 |
d. LEI of Registrant | 549300DGAJTGM6R4HK03 |
e. Address and telephone number of Registrant: |
i. Street Address 1 | 250 Pehle Avenue |
ii. Street Address 2 | Suite 708 |
iii. City | Saddle Brook |
iv. State, if applicable | |
v. Foreign country, if applicable | |
vi. Zip / Postal Code | 07663 |
vii. Telephone number | 877-607-0414 |
a. Name of Series. | Special Opportunities Fund, Inc. |
b. EDGAR series identifier (if any). | |
c. LEI of Series. | 549300DGAJTGM6R4HK03 |
a. Date of fiscal year-end. | 2021-12-31 |
b. Date as of which information is reported. | 2021-12-31 |
a. Does the Fund anticipate that this will be its final filing on Form N PORT? | ☐ Yes ☒ No |
Report the following information for the Fund and its consolidated subsidiaries. |
a. Total assets, including assets attributable to miscellaneous securities reported in Part D. | 210720528.280000000000 |
b. Total liabilities. | 344737.660000000000 |
c. Net assets. | 210375790.620000000000 |
a. Assets attributable to miscellaneous securities reported in Part D. | 0.000000000000 |
b. Assets invested in a Controlled Foreign Corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities. | 0.000000000000 |
c. Borrowings attributable to amounts payable for notes payable, bonds, and similar debt, as reported pursuant to rule 6-04(13)(a) of Regulation S-X [17 CFR 210.6-04(13)(a)]. |
Amounts payable within one year. | |
Banks or other financial institutions for borrowings. | 0.000000000000 |
Controlled companies. | 0.000000000000 |
Other affiliates. | 0.000000000000 |
Others. | 0.000000000000 |
Amounts payable after one year. | |
Banks or other financial institutions for borrowings. | 0.000000000000 |
Controlled companies. | 0.000000000000 |
Other affiliates. | 0.000000000000 |
Others. | 0.000000000000 |
d. Payables for investments purchased either (i) on a delayed delivery, when-issued, or other firm commitment basis, or (ii) on a standby commitment basis. |
(i) On a delayed delivery, when-issued, or other firm commitment basis: | 0.000000000000 |
(ii) On a standby commitment basis: | 0.000000000000 |
e. Liquidation preference of outstanding preferred stock issued by the Fund. | 0.000000000000 |
f. Cash and cash equivalents not reported in Parts C and D. | 251228.250000000000 |
If the average value of the Fund's debt securities positions for the previous three months, in the aggregate, exceeds 25% or more of the Fund's net asset value, provide: |
a. Interest Rate Risk (DV01). For each currency for which the Fund had a value of 1% or more of the Fund’s net asset value, provide the change in value of the portfolio resulting from a 1 basis point change in interest rates, for each of the following maturities: 3 month, 1 year, 5 years, 10 years, and 30 years. |
b. Interest Rate Risk (DV100). For each currency for which the Fund had a value of 1% or more of the Fund’s net asset value, provide the change in value of the portfolio resulting from a 100 basis point change in interest rates, for each of the following maturities: 3 month, 1 year, 5 years, 10 years, and 30 years. |
Currency Metric Record | ISO Currency code | 3 month | 1 year | 5 years | 10 years | 30 years | — | — | — | — | — | — | — |
---|
c. Credit Spread Risk (SDV01, CR01 or CS01). Provide the change in value of the portfolio resulting from a 1 basis point change in credit spreads where the shift is applied to the option adjusted spread, aggregated by investment grade and non-investment grade exposures, for each of the following maturities: 3 month, 1 year, 5 years, 10 years, and 30 years. |
Credit Spread Risk | 3 month | 1 year | 5 years | 10 years | 30 years | — | — | — | — | — | — |
---|
For purposes of Item B.3., calculate value as the sum of the absolute values of: (i) the value of each debt security, (ii) the notional value of each swap, including, but not limited to, total return swaps, interest rate swaps, and credit default swaps, for which the underlying reference asset or assets are debt securities or an interest rate; (iii) the notional value of each futures contract for which the underlying reference asset or assets are debt securities or an interest rate; and (iv) the delta-adjusted notional value of any option for which the underlying reference asset is an asset described in clause (i),(ii), or (iii). Report zero for maturities to which the Fund has no exposure. For exposures that fall between any of the listed maturities in (a) and (b), use linear interpolation to approximate exposure to each maturity listed above. For exposures outside of the range of maturities listed above, include those exposures in the nearest maturity. |
a. For each borrower in any securities lending transaction, provide the following information: |
Borrower Information Record | Name of borrower | LEI (if any) of borrower | Aggregate value of all securities on loan to the borrower |
---|---|---|---|
— | — | — | — |
b. Did any securities lending counterparty provide any non-cash collateral? | ☐ Yes ☒ No |
a. Monthly total returns of the Fund for each of the preceding three months. If the Fund is a Multiple Class Fund, report returns for each class. Such returns shall be calculated in accordance with the methodologies outlined in Item 26(b) (1) of Form N-1A, Instruction 13 to sub-Item 1 of Item 4 of Form N-2, or Item 26(b) (i) of Form N-3, as applicable. |
Monthly Total Return Record | Monthly total returns of the Fund for each of the preceding three months | Class identification number(s) (if any) of the Class(es) for which returns are reported | ||
Month 1 | Month 2 | Month 3 | ||
#1 | 3.96 | -0.66 | 3.39 |
b. For each of the preceding three months, monthly net realized gain (loss) and net change in unrealized appreciation (or depreciation) attributable to derivatives for each of the following categories: commodity contracts, credit contracts, equity contracts, foreign exchange contracts, interest rate contracts, and other contracts. Within each such asset category, further report the same information for each of the following types of derivatives instrument: forward, future, option, swaption, swap, warrant, and other. Report in U.S. dollars. Losses and depreciation shall be reported as negative numbers. |
Asset category | Instrument type | Month 1 | Month 2 | Month 3 | |||
Monthly net realized gain(loss) | Monthly net change in unrealized appreciation (or depreciation) | Monthly net realized gain(loss) | Monthly net change in unrealized appreciation (or depreciation) | Monthly net realized gain(loss) | Monthly net change in unrealized appreciation (or depreciation) | ||
Commodity Contracts | — | — | — | — | — | — | |
Credit Contracts | — | — | — | — | — | — | |
Equity Contracts | 54273.360000000000 | 105026.600000000000 | 105070.260000000000 | -1336.210000000000 | 108808.470000000000 | -269467.050000000000 | |
Forward | — | — | — | — | — | — | |
Future | — | — | — | — | — | — | |
Option | — | — | — | — | — | — | |
Swaption | — | — | — | — | — | — | |
Swap | — | — | — | — | — | — | |
Warrant | 54273.360000000000 | 105026.600000000000 | 105070.260000000000 | -1336.210000000000 | 108808.470000000000 | -269467.050000000000 | |
Other | — | — | — | — | — | — | |
Foreign Exchange Contracts | — | — | — | — | — | — | |
Interest Rate Contracts | — | — | — | — | — | — | |
Other Contracts | — | — | — | — | — | — |
c. For each of the preceding three months, monthly net realized gain (loss) and net change in unrealized appreciation (or depreciation) attributable to investment other than derivatives. Report in U.S. dollars. Losses and depreciation shall be reported as negative numbers. |
Month | Monthly net realized gain(loss) | Monthly net change in unrealized appreciation (or depreciation) |
---|---|---|
Month 1 | 286887.050000000000 | 5230075.150000000000 |
Month 2 | 4936109.630000000000 | -8006395.900000000000 |
Month 3 | 5488105.290000000000 | 576388.960000000000 |
a. Provide the aggregate dollar amounts for sales and redemptions/repurchases of Fund shares during each of the preceding three months. If shares of the Fund are held in omnibus accounts, for purposes of calculating the Fund's sales, redemptions, and repurchases, use net sales or redemptions/repurchases from such omnibus accounts. The amounts to be reported under this Item should be after any front-end sales load has been deducted and before any deferred or contingent deferred sales load or charge has been deducted. Shares sold shall include shares sold by the Fund to a registered unit investment trust. For mergers and other acquisitions, include in the value of shares sold any transaction in which the Fund acquired the assets of another investment company or of a personal holding company in exchange for its own shares. For liquidations, include in the value of shares redeemed any transaction in which the Fund liquidated all or part of its assets. Exchanges are defined as the redemption or repurchase of shares of one Fund or series and the investment of all or part of the proceeds in shares of another Fund or series in the same family of investment companies. |
Month | Total net asset value of shares sold (including exchanges but excluding reinvestment of dividends and distributions) | Total net asset value of shares sold in connection with reinvestments of dividends and distributions | Total net asset value of shares redeemed or repurchased, including exchanges |
---|---|---|---|
Month 1 | .000000000000 | .000000000000 | .000000000000 |
Month 2 | .000000000000 | .000000000000 | .000000000000 |
Month 3 | .000000000000 | .000000000000 | .000000000000 |
a. If applicable, provide the Fund's current Highly Liquid Investment Minimum. |
—
|
b. If applicable, provide the number of days that the Fund's holdings in Highly Liquid Investments fell below the Fund's Highly Liquid Investment Minimum during the reporting period. |
—
|
c. Did the Fund's Highly Liquid Investment Minimum change during the reporting period? | ☐ Yes ☐ No ☐ N/A |
For portfolio investments of open-end management investment companies, provide the percentage of the Fund's Highly Liquid Investments that it has pledged as margin or collateral in connection with derivatives transactions that are classified among the following categories as specified in rule 22e-4 [17 CFR 270.22e-4]: |
(1) Moderately Liquid Investments |
(2) Less Liquid Investments |
(3) Illiquid Investments |
For purposes of Item B.8, when computing the required percentage, the denominator should only include assets (and exclude liabilities) that are categorized by the Fund as Highly Liquid Investments. |
Classification |
—
|
If the Fund is excepted from the rule 18f-4 [17 CFR 270.18f-4] program requirement and limit on fund leverage risk under rule 18f-4(c)(4) [17 CFR 270.18f-4(c)(4)], provide the following information: |
a. Derivatives exposure (as defined in rule 18f-4(a) [17 CFR 270.18f-4(a)]), reported as a percentage of the Fund’s net asset value. |
—
|
b. Exposure from currency derivatives that hedge currency risks, as provided in rule 18f-4(c)(4)(i)(B) [17 CFR 270.18f-4(c)(4)(i)(B)], reported as a percentage of the Fund's net asset value. |
—
|
c. Exposure from interest rate derivatives that hedge interest rate risks, as provided in rule 18f-4(c)(4)(i)(B) [17 CFR 270.18f-4(c)(4)(i)(B)], reported as a percentage of the Fund's net asset value. |
—
|
d. The number of business days, if any, in excess of the five-business-day period described in rule 18f-4(c)(4)(ii) [17 CFR 270.18f-4(c)(4)(ii)], that the Fund’s derivatives exposure exceeded 10 percent of its net assets during the reporting period. |
—
|
For Funds subject to the limit on fund leverage risk described in rule 18f-4(c)(2) [17 CFR 270.18f-4(c)(2)], provide the following information, as determined in accordance with the requirement under rule 18f-4(c)(2)(ii) to determine the fund’s compliance with the applicable VaR test at least once each business day: |
a. Median daily VaR during the reporting period, reported as a percentage of the Fund's net asset value. |
—
|
b. For Funds that were subject to the Relative VaR Test during the reporting period, provide: | |
i. As applicable, the name of the Fund’s Designated Index, or a statement that the Fund's Designated Reference Portfolio is the Fund’s Securities Portfolio. |
—
|
ii. As applicable, the index identifier for the Fund’s Designated Index. |
—
|
iii. Median VaR Ratio during the reporting period, reported as a percentage of the VaRof the Fund's Designated Reference Portfolio. |
—
|
c. Backtesting Results. Number of exceptions that the Fund identified as a result of its backtesting of its VaR calculation model (as described in rule 18f-4(c)(1)(iv) [17 CFR 270.18f-4(c)(1)(iv)] during the reporting period. |
—
|
For each investment held by the Fund and its consolidated subsidiaries, disclose the information requested in Part C. A Fund may report information for securities in an aggregate amount not exceeding five percent of its total assets as miscellaneous securities in Part D in lieu of reporting those securities in Part C, provided that the securities so listed are not restricted, have been held for not more than one year prior to the end of the reporting period covered by this report, and have not been previously reported by name to the shareholders of the Fund or to any exchange, or set forth in any registration statement, application, or report to shareholders or otherwise made available to the public. |
Schedule of Portfolio Investments Record: 1 |
a. Name of issuer (if any). | Aberdeen Japan Equity Fund Inc |
b. LEI (if any) of issuer. (1) | 549300TENE1BGI09O157 |
c. Title of the issue or description of the investment. | Aberdeen Japan Equity Fund Inc |
d. CUSIP (if any). | 00306J109 |
At least one of the following other identifiers: |
- ISIN | US00306J1097 |
- Ticker (if ISIN is not available). | JEQ |
Balance. (2) |
a. Balance | 114992.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 934884.960000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.4443880911 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 2 |
a. Name of issuer (if any). | Adams Diversified Equity Fund |
b. LEI (if any) of issuer. (1) | 5493005W7G81BNPP7M23 |
c. Title of the issue or description of the investment. | Adams Diversified Equity Fund Inc |
d. CUSIP (if any). | 006212104 |
At least one of the following other identifiers: |
- ISIN | US0062121043 |
- Ticker (if ISIN is not available). | ADX |
Balance. (2) |
a. Balance | 114900.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 2230209.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 1.0601072459 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 3 |
a. Name of issuer (if any). | ADTHEORENT HOLDINGS CO INC |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | AdTheorent Holding Co Inc |
d. CUSIP (if any). | 00739D117 |
At least one of the following other identifiers: |
- ISIN | US00739D1173 |
- Ticker (if ISIN is not available). | ADTHW |
Balance. (2) |
a. Balance | 21633.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 14710.440000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0069924586 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | NASDAQ CM | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | AdTheorent Holding Co Inc |
Title of issue. | AdTheorent Holding Co Inc |
At least one of the following other identifiers: |
- CUSIP. | 00739D109 |
- ISIN (if CUSIP is not available). | US00739D1090 |
- Ticker (if CUSIP and ISIN are not available). | ADTH |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2027-12-31 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -104.480000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 4 |
a. Name of issuer (if any). | AltC Acquisition Corp |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | AltC Acquisition Corp |
d. CUSIP (if any). | 02156V109 |
At least one of the following other identifiers: |
- ISIN | US02156V1098 |
- Ticker (if ISIN is not available). | ALCC |
Balance. (2) |
a. Balance | 100000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 985000.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.4682097674 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 5 |
a. Name of issuer (if any). | Apollo Tactical Income Fund In |
b. LEI (if any) of issuer. (1) | 549300JOTMM1DVBHF402 |
c. Title of the issue or description of the investment. | Apollo Tactical Income Fund Inc |
d. CUSIP (if any). | 037638103 |
At least one of the following other identifiers: |
- ISIN | US0376381036 |
- Ticker (if ISIN is not available). | AIF |
Balance. (2) |
a. Balance | 20000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 306400.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.1456441348 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 6 |
a. Name of issuer (if any). | Arbor Rapha Capital Bioholding |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Arbor Rapha Capital Bioholdings Corp I |
d. CUSIP (if any). | 03881F203 |
At least one of the following other identifiers: |
- ISIN | US03881F2039 |
- Ticker (if ISIN is not available). | ARCKU |
Balance. (2) |
a. Balance | 92800.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 941920.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.4477321260 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 7 |
a. Name of issuer (if any). | ARCHER AVIATION INC-A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Archer Aviation Inc |
d. CUSIP (if any). | 03945R110 |
At least one of the following other identifiers: |
- ISIN | US03945R1106 |
- Ticker (if ISIN is not available). | ACHR/WS |
Balance. (2) |
a. Balance | 23333.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 27066.280000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0128656819 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | New York | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | Archer Aviation Inc |
Title of issue. | Archer Aviation Inc |
At least one of the following other identifiers: |
- CUSIP. | 03945R102 |
- ISIN (if CUSIP is not available). | US03945R1023 |
- Ticker (if CUSIP and ISIN are not available). | ACHR |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2026-09-16 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -11562.010000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 8 |
a. Name of issuer (if any). | B RILEY FINANCIAL INC |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | B Riley Financial Inc |
d. CUSIP (if any). | 05580M868 |
At least one of the following other identifiers: |
- ISIN | US05580M8689 |
- Ticker (if ISIN is not available). | RILY |
Balance. (2) |
a. Balance | 28000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 735000.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.3493748011 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-preferred
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 9 |
a. Name of issuer (if any). | B Riley Principal 150 Merger C |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | B Riley Principal 150 Merger Corp |
d. CUSIP (if any). | 05601V103 |
At least one of the following other identifiers: |
- ISIN | US05601V1035 |
- Ticker (if ISIN is not available). | BRPM |
Balance. (2) |
a. Balance | 26400.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 267168.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.1269956012 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 10 |
a. Name of issuer (if any). | B RILEY PRINCIPAL 150 MERG-A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | B Riley Principal 150 Merger Corp |
d. CUSIP (if any). | 05601V111 |
At least one of the following other identifiers: |
- ISIN | US05601V1118 |
- Ticker (if ISIN is not available). | BRPMW |
Balance. (2) |
a. Balance | 8515.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 12346.750000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0058689025 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | NASDAQ CM | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | B Riley Principal 150 Merger C |
Title of issue. | B Riley Principal 150 Merger Corp |
At least one of the following other identifiers: |
- CUSIP. | 05601V103 |
- ISIN (if CUSIP is not available). | US05601V1035 |
- Ticker (if CUSIP and ISIN are not available). | BRPM |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2028-03-01 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | 4023.460000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 11 |
a. Name of issuer (if any). | B Riley Principal 250 Merger C |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | B Riley Principal 250 Merger Corp |
d. CUSIP (if any). | 05602L104 |
At least one of the following other identifiers: |
- ISIN | US05602L1044 |
- Ticker (if ISIN is not available). | BRIV |
Balance. (2) |
a. Balance | 99999.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 973990.260000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.4629763991 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 12 |
a. Name of issuer (if any). | B RILEY PRINCIPAL 250 MERG-A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | B Riley Principal 250 Merger Corp |
d. CUSIP (if any). | 05602L112 |
At least one of the following other identifiers: |
- ISIN | US05602L1127 |
- Ticker (if ISIN is not available). | BRIVW |
Balance. (2) |
a. Balance | 33333.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 26666.400000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0126756030 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | NASDAQ CM | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | B Riley Principal 250 Merger C |
Title of issue. | B Riley Principal 250 Merger Corp |
At least one of the following other identifiers: |
- CUSIP. | 05602L104 |
- ISIN (if CUSIP is not available). | US05602L1044 |
- Ticker (if CUSIP and ISIN are not available). | BRIV |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2027-12-31 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -6789.270000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 13 |
a. Name of issuer (if any). | BABCOCK & WILCOX ENTERPR |
b. LEI (if any) of issuer. (1) | 5493006H661OZN2C0T54 |
c. Title of the issue or description of the investment. | Babcock & Wilcox Enterprises Inc |
d. CUSIP (if any). | 05614L308 |
At least one of the following other identifiers: |
- ISIN | US05614L3087 |
- Ticker (if ISIN is not available). | BW |
Balance. (2) |
a. Balance | 80000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 2104000.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 1.0001150768 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-preferred
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 14 |
a. Name of issuer (if any). | Big Sky Growth Partners Inc |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Big Sky Growth Partners Inc |
d. CUSIP (if any). | 08954L201 |
At least one of the following other identifiers: |
- ISIN | US08954L2016 |
- Ticker (if ISIN is not available). | BSKYU |
Balance. (2) |
a. Balance | 111780.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 1094326.200000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.5201768686 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 15 |
a. Name of issuer (if any). | BIGBEAR.AI HOLDINGS INC |
b. LEI (if any) of issuer. (1) | 549300XGCF2ELN28CS63 |
c. Title of the issue or description of the investment. | BigBear.ai Holdings Inc |
d. CUSIP (if any). | 08975B117 |
At least one of the following other identifiers: |
- ISIN | US08975B1171 |
- Ticker (if ISIN is not available). | BBAI/WS |
Balance. (2) |
a. Balance | 20333.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 16469.730000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0078287192 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | New York | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | BigBear.ai Holdings Inc |
Title of issue. | BigBear.ai Holdings Inc |
At least one of the following other identifiers: |
- CUSIP. | 08975B109 |
- ISIN (if CUSIP is not available). | US08975B1098 |
- Ticker (if CUSIP and ISIN are not available). | BBAI |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2028-12-31 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -1101.180000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 16 |
a. Name of issuer (if any). | Boulder Growth & Income Fund I |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Boulder Growth & Income Fund Inc |
d. CUSIP (if any). | 101507101 |
At least one of the following other identifiers: |
- ISIN | US1015071012 |
- Ticker (if ISIN is not available). | BIF |
Balance. (2) |
a. Balance | 846913.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 12034633.730000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 5.7205411775 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 17 |
a. Name of issuer (if any). | BROOKFIELD DTLA FUND OFF |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Brookfield DTLA Fund Office Trust Investor Inc |
d. CUSIP (if any). | 112714209 |
At least one of the following other identifiers: |
- ISIN | US1127142099 |
- Ticker (if ISIN is not available). | BRDTLA |
Balance. (2) |
a. Balance | 171723.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 2266743.600000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 1.0774735978 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-preferred
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 18 |
a. Name of issuer (if any). | CF Acquisition Corp VIII |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | CF Acquisition Corp VIII |
d. CUSIP (if any). | 12520C109 |
At least one of the following other identifiers: |
- ISIN | US12520C1099 |
- Ticker (if ISIN is not available). | CFFE |
Balance. (2) |
a. Balance | 34000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 339320.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.1612923231 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 19 |
a. Name of issuer (if any). | CF ACQUISITION CORP VIII-A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | CF Acquisition Corp VIII |
d. CUSIP (if any). | 12520C117 |
At least one of the following other identifiers: |
- ISIN | US12520C1172 |
- Ticker (if ISIN is not available). | CFFEW |
Balance. (2) |
a. Balance | 8500.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 7055.850000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0033539268 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | NASDAQ CM | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | CF Acquisition Corp VIII |
Title of issue. | CF Acquisition Corp VIII |
At least one of the following other identifiers: |
- CUSIP. | 12520C109 |
- ISIN (if CUSIP is not available). | US12520C1099 |
- Ticker (if CUSIP and ISIN are not available). | CFFE |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2027-12-31 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -1275.040000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 20 |
a. Name of issuer (if any). | Center Coast Brookfield MLP & |
b. LEI (if any) of issuer. (1) | 549300M8EZMVV1SP6N14 |
c. Title of the issue or description of the investment. | Center Coast Brookfield MLP & Energy Infrastructure Fund |
d. CUSIP (if any). | 151461209 |
At least one of the following other identifiers: |
- ISIN | US1514612092 |
- Ticker (if ISIN is not available). | CEN |
Balance. (2) |
a. Balance | 26045.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 352649.300000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.1676282708 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 21 |
a. Name of issuer (if any). | Central and Eastern Europe Fun |
b. LEI (if any) of issuer. (1) | 549300TSXFIOF89ZI608 |
c. Title of the issue or description of the investment. | Central and Eastern Europe Fund Inc |
d. CUSIP (if any). | 153436100 |
At least one of the following other identifiers: |
- ISIN | US1534361001 |
- Ticker (if ISIN is not available). | CEE |
Balance. (2) |
a. Balance | 24694.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 651674.660000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.3097669452 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 22 |
a. Name of issuer (if any). | Central Securities Corp |
b. LEI (if any) of issuer. (1) | 549300D87MQ4TEVRK235 |
c. Title of the issue or description of the investment. | Central Securities Corp |
d. CUSIP (if any). | 155123102 |
At least one of the following other identifiers: |
- ISIN | US1551231020 |
- Ticker (if ISIN is not available). | CET |
Balance. (2) |
a. Balance | 291418.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 12991414.440000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 6.1753371915 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 23 |
a. Name of issuer (if any). | CHICKEN SOUP FOR SOUL |
b. LEI (if any) of issuer. (1) | 549300THRJ0EJ1DIID72 |
c. Title of the issue or description of the investment. | Chicken Soup For The Soul Entertainment Inc |
d. CUSIP (if any). | 16842Q308 |
At least one of the following other identifiers: |
- ISIN | US16842Q3083 |
- Ticker (if ISIN is not available). | CSSE |
Balance. (2) |
a. Balance | 43270.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 1103385.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.5244828774 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-preferred
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☐ 1 ☒ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 24 |
a. Name of issuer (if any). | Churchill Capital Corp VI |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Churchill Capital Corp VI |
d. CUSIP (if any). | 17143W101 |
At least one of the following other identifiers: |
- ISIN | US17143W1018 |
- Ticker (if ISIN is not available). | CCVI |
Balance. (2) |
a. Balance | 81000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 792180.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.3765547346 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 25 |
a. Name of issuer (if any). | CHURCHILL CAPITAL CORP VI-A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Churchill Capital Corp VI |
d. CUSIP (if any). | 17143W119 |
At least one of the following other identifiers: |
- ISIN | US17143W1190 |
- Ticker (if ISIN is not available). | CCVI/WS |
Balance. (2) |
a. Balance | 16200.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 16605.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0078930185 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | New York | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | Churchill Capital Corp VI |
Title of issue. | Churchill Capital Corp VI |
At least one of the following other identifiers: |
- CUSIP. | 17143W101 |
- ISIN (if CUSIP is not available). | US17143W1018 |
- Ticker (if CUSIP and ISIN are not available). | CCVI |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2027-12-31 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -5393.060000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 26 |
a. Name of issuer (if any). | Churchill Capital Corp VII |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Churchill Capital Corp VII |
d. CUSIP (if any). | 17144M102 |
At least one of the following other identifiers: |
- ISIN | US17144M1027 |
- Ticker (if ISIN is not available). | CVII |
Balance. (2) |
a. Balance | 124920.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 1227963.600000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.5837000524 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 27 |
a. Name of issuer (if any). | CHURCHILL CAPITAL CORP VII-A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Churchill Capital Corp VII |
d. CUSIP (if any). | 17144M110 |
At least one of the following other identifiers: |
- ISIN | US17144M1100 |
- Ticker (if ISIN is not available). | CVII/WS |
Balance. (2) |
a. Balance | 24984.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 24986.500000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0118770795 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | New York | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | Churchill Capital Corp VII |
Title of issue. | Churchill Capital Corp VII |
At least one of the following other identifiers: |
- CUSIP. | 17144M102 |
- ISIN (if CUSIP is not available). | US17144M1027 |
- Ticker (if CUSIP and ISIN are not available). | CVII |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2028-02-29 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -5693.000000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 28 |
a. Name of issuer (if any). | Churchill Capital Corp V |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Churchill Capital Corp V |
d. CUSIP (if any). | 17144T107 |
At least one of the following other identifiers: |
- ISIN | US17144T1079 |
- Ticker (if ISIN is not available). | CCV |
Balance. (2) |
a. Balance | 105728.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 1040363.520000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.4945262556 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 29 |
a. Name of issuer (if any). | CHURCHILL CAPITAL CORP V-A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Churchill Capital Corp V |
d. CUSIP (if any). | 17144T115 |
At least one of the following other identifiers: |
- ISIN | US17144T1152 |
- Ticker (if ISIN is not available). | CCV/WS |
Balance. (2) |
a. Balance | 26432.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 25906.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0123141546 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | New York | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | Churchill Capital Corp V |
Title of issue. | Churchill Capital Corp V |
At least one of the following other identifiers: |
- CUSIP. | 17144T107 |
- ISIN (if CUSIP is not available). | US17144T1079 |
- Ticker (if CUSIP and ISIN are not available). | CCV |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2027-10-29 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -31442.980000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 30 |
a. Name of issuer (if any). | CION Investment Corp |
b. LEI (if any) of issuer. (1) | 549300XN70JLF94XKX80 |
c. Title of the issue or description of the investment. | CION Investment Corp |
d. CUSIP (if any). | 17259U204 |
At least one of the following other identifiers: |
- ISIN | US17259U2042 |
- Ticker (if ISIN is not available). | CION |
Balance. (2) |
a. Balance | 77738.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 1016035.660000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.4829622539 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 31 |
a. Name of issuer (if any). | Colombier Acquisition Corp |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Colombier Acquisition Corp |
d. CUSIP (if any). | 19533H207 |
At least one of the following other identifiers: |
- ISIN | US19533H2076 |
- Ticker (if ISIN is not available). | CLBR/U |
Balance. (2) |
a. Balance | 100000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 981000.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.4663084080 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 32 |
a. Name of issuer (if any). | COMPOSECURE INC |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | CompoSecure Inc |
d. CUSIP (if any). | 20459V113 |
At least one of the following other identifiers: |
- ISIN | US20459V1136 |
- Ticker (if ISIN is not available). | CMPOW |
Balance. (2) |
a. Balance | 9500.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 14535.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0069090649 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | NASDAQ GM | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | CompoSecure Inc |
Title of issue. | CompoSecure Inc |
At least one of the following other identifiers: |
- CUSIP. | 20459V105 |
- ISIN (if CUSIP is not available). | US20459V1052 |
- Ticker (if CUSIP and ISIN are not available). | CMPO |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2025-10-31 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | 4164.970000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 33 |
a. Name of issuer (if any). | ONCOLOGY INSTITUTE INC/THE |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Oncology Institute Inc/The |
d. CUSIP (if any). | 68236X118 |
At least one of the following other identifiers: |
- ISIN | US68236X1182 |
- Ticker (if ISIN is not available). | TOIIW |
Balance. (2) |
a. Balance | 52595.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 36301.070000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0172553457 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | NASDAQ CM | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | Oncology Institute Inc/The |
Title of issue. | Oncology Institute Inc/The |
At least one of the following other identifiers: |
- CUSIP. | 68236X100 |
- ISIN (if CUSIP is not available). | US68236X1000 |
- Ticker (if CUSIP and ISIN are not available). | TOI |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2026-06-28 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -39036.160000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 34 |
a. Name of issuer (if any). | PGIM Global High Yield Fund In |
b. LEI (if any) of issuer. (1) | F0ATD1Y4J8CHDKHSLD09 |
c. Title of the issue or description of the investment. | PGIM Global High Yield Fund Inc |
d. CUSIP (if any). | 69346J106 |
At least one of the following other identifiers: |
- ISIN | US69346J1060 |
- Ticker (if ISIN is not available). | GHY |
Balance. (2) |
a. Balance | 68996.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 1041149.640000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.4948999298 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 35 |
a. Name of issuer (if any). | PennantPark Investment Corp |
b. LEI (if any) of issuer. (1) | 529900OK432R4C6NQQ73 |
c. Title of the issue or description of the investment. | PennantPark Investment Corp |
d. CUSIP (if any). | 708062104 |
At least one of the following other identifiers: |
- ISIN | US7080621045 |
- Ticker (if ISIN is not available). | PNNT |
Balance. (2) |
a. Balance | 27600.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 191268.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0909173054 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 36 |
a. Name of issuer (if any). | Periphas Capital Partnering Co |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Periphas Capital Partnering Corp |
d. CUSIP (if any). | 713895209 |
At least one of the following other identifiers: |
- ISIN | US7138952095 |
- Ticker (if ISIN is not available). | PCPC/U |
Balance. (2) |
a. Balance | 2980.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 73576.200000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0349737010 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☐ 1 ☒ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 37 |
a. Name of issuer (if any). | Crescent Capital BDC Inc |
b. LEI (if any) of issuer. (1) | 549300VPIZMU6OEE0V68 |
c. Title of the issue or description of the investment. | Crescent Capital BDC Inc |
d. CUSIP (if any). | 225655109 |
At least one of the following other identifiers: |
- ISIN | US2256551092 |
- Ticker (if ISIN is not available). | CCAP |
Balance. (2) |
a. Balance | 25000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 440000.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.2091495408 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 38 |
a. Name of issuer (if any). | Cushing MLP & Infrastructure T |
b. LEI (if any) of issuer. (1) | 5493006NXITDSHOHUT03 |
c. Title of the issue or description of the investment. | Cushing MLP & Infrastructure Total Return Fund/The |
d. CUSIP (if any). | 231631300 |
At least one of the following other identifiers: |
- ISIN | US2316313004 |
- Ticker (if ISIN is not available). | SRV |
Balance. (2) |
a. Balance | 65450.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 1996225.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.9488853228 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 39 |
a. Name of issuer (if any). | DTRT Health Acquisition Corp |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | DTRT Health Acquisition Corp |
d. CUSIP (if any). | 23344T202 |
At least one of the following other identifiers: |
- ISIN | US23344T2024 |
- Ticker (if ISIN is not available). | DTRTU |
Balance. (2) |
a. Balance | 76250.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 767837.500000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.3649837739 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☐ 1 ☒ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 40 |
a. Name of issuer (if any). | Delaware Enhanced Global Divid |
b. LEI (if any) of issuer. (1) | A2NJVV301U26XNED1002 |
c. Title of the issue or description of the investment. | Delaware Enhanced Global Dividend & Income Fund |
d. CUSIP (if any). | 246060107 |
At least one of the following other identifiers: |
- ISIN | US2460601071 |
- Ticker (if ISIN is not available). | DEX |
Balance. (2) |
a. Balance | 95529.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 969619.350000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.4608987313 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 41 |
a. Name of issuer (if any). | Portman Ridge Finance Corp |
b. LEI (if any) of issuer. (1) | 254900YM5BVQKA01I468 |
c. Title of the issue or description of the investment. | Portman Ridge Finance Corp |
d. CUSIP (if any). | 73688F201 |
At least one of the following other identifiers: |
- ISIN | US73688F2011 |
- Ticker (if ISIN is not available). | PTMN |
Balance. (2) |
a. Balance | 45670.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 1130789.200000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.5375091861 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 42 |
a. Name of issuer (if any). | PWP Forward Acquisition Corp I |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | PWP Forward Acquisition Corp I |
d. CUSIP (if any). | 74709Q101 |
At least one of the following other identifiers: |
- ISIN | US74709Q1013 |
- Ticker (if ISIN is not available). | FRW |
Balance. (2) |
a. Balance | 50000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 485000.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.2305398347 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☐ 1 ☒ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 43 |
a. Name of issuer (if any). | PWP FORWARD ACQUISITION CO-A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | PWP Forward Acquisition Corp I |
d. CUSIP (if any). | 74709Q119 |
At least one of the following other identifiers: |
- ISIN | US74709Q1195 |
- Ticker (if ISIN is not available). | FRWAW |
Balance. (2) |
a. Balance | 10000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 8000.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0038027189 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | NASDAQ CM | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | PWP Forward Acquisition Corp I |
Title of issue. | PWP Forward Acquisition Corp I |
At least one of the following other identifiers: |
- CUSIP. | 74709Q101 |
- ISIN (if CUSIP is not available). | US74709Q1013 |
- Ticker (if CUSIP and ISIN are not available). | FRW |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2026-03-09 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -2314.320000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 44 |
a. Name of issuer (if any). | QUANTUM FINTECH ACQUISITION |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Quantum FinTech Acquisition Corp |
d. CUSIP (if any). | 74767A113 |
At least one of the following other identifiers: |
- ISIN | US74767A1135 |
- Ticker (if ISIN is not available). | QFTA/WS |
Balance. (2) |
a. Balance | 76000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 38760.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0184241732 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | New York | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | Quantum FinTech Acquisition Co |
Title of issue. | Quantum FinTech Acquisition Corp |
At least one of the following other identifiers: |
- CUSIP. | 74767A105 |
- ISIN (if CUSIP is not available). | US74767A1051 |
- Ticker (if CUSIP and ISIN are not available). | QFTA |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2027-12-31 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | 15609.340000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 45 |
a. Name of issuer (if any). | RiverNorth Opportunities Fund |
b. LEI (if any) of issuer. (1) | 5493001RICR0OU8TM159 |
c. Title of the issue or description of the investment. | RiverNorth Opportunities Fund Inc |
d. CUSIP (if any). | 76881Y109 |
At least one of the following other identifiers: |
- ISIN | US76881Y1091 |
- Ticker (if ISIN is not available). | RIV |
Balance. (2) |
a. Balance | 103381.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 1648926.950000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.7838007145 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 46 |
a. Name of issuer (if any). | Royce Micro-Cap Trust Inc |
b. LEI (if any) of issuer. (1) | 254900D3WFIV4SD8EF19 |
c. Title of the issue or description of the investment. | Royce Micro-Cap Trust Inc |
d. CUSIP (if any). | 780915104 |
At least one of the following other identifiers: |
- ISIN | US7809151043 |
- Ticker (if ISIN is not available). | RMT |
Balance. (2) |
a. Balance | 43298.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 500091.900000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.2377136164 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 47 |
a. Name of issuer (if any). | Delaware Investments Colorado |
b. LEI (if any) of issuer. (1) | HS7YIW64I47WX7U31F48 |
c. Title of the issue or description of the investment. | Delaware Investments Colorado Municipal Income Fund Inc |
d. CUSIP (if any). | 246101109 |
At least one of the following other identifiers: |
- ISIN | US2461011098 |
- Ticker (if ISIN is not available). | VCF |
Balance. (2) |
a. Balance | 13729.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 195638.250000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0929946594 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 48 |
a. Name of issuer (if any). | Delaware Investments National |
b. LEI (if any) of issuer. (1) | NIC7ULNUGCUI836YP119 |
c. Title of the issue or description of the investment. | Delaware Investments National Municipal Income Fund |
d. CUSIP (if any). | 24610T108 |
At least one of the following other identifiers: |
- ISIN | US24610T1088 |
- Ticker (if ISIN is not available). | VFL |
Balance. (2) |
a. Balance | 300.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 4236.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0020135397 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 49 |
a. Name of issuer (if any). | Saba Capital Income & Opportun |
b. LEI (if any) of issuer. (1) | 549300MGSUUJ7E55N746 |
c. Title of the issue or description of the investment. | Saba Capital Income & Opportunities Fund |
d. CUSIP (if any). | 78518H103 |
At least one of the following other identifiers: |
- ISIN | US78518H1032 |
- Ticker (if ISIN is not available). | BRW |
Balance. (2) |
a. Balance | 647033.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 2924589.160000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 1.3901738177 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 50 |
a. Name of issuer (if any). | SACHEM CAPITAL CORP |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Sachem Capital Corp |
d. CUSIP (if any). | 78590A208 |
At least one of the following other identifiers: |
- ISIN | US78590A2087 |
- Ticker (if ISIN is not available). | SACH |
Balance. (2) |
a. Balance | 60000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 1507800.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.7167174491 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-preferred
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☐ 1 ☒ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 51 |
a. Name of issuer (if any). | SACHEM CAPITAL CORP |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Sachem Capital Corp |
d. CUSIP (if any). | 78590A406 |
At least one of the following other identifiers: |
- ISIN | US78590A4067 |
- Ticker (if ISIN is not available). | SACH |
Balance. (2) |
a. Balance | 120000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 3090000.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 1.4688001841 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-preferred
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 52 |
a. Name of issuer (if any). | Salient Midstream & MLP Fund |
b. LEI (if any) of issuer. (1) | 5493004WQSDUD0W6BV62 |
c. Title of the issue or description of the investment. | Salient Midstream & MLP Fund |
d. CUSIP (if any). | 79471V105 |
At least one of the following other identifiers: |
- ISIN | US79471V1052 |
- Ticker (if ISIN is not available). | SMM |
Balance. (2) |
a. Balance | 15220.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 102582.800000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0487616943 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 53 |
a. Name of issuer (if any). | Voyageur Minnesota Muni II |
b. LEI (if any) of issuer. (1) | RY6PR144OD7KOIBBCC20 |
c. Title of the issue or description of the investment. | Delaware Investments Minnesota Municipal Income Fund II Inc |
d. CUSIP (if any). | 24610V103 |
At least one of the following other identifiers: |
- ISIN | US24610V1035 |
- Ticker (if ISIN is not available). | VMM |
Balance. (2) |
a. Balance | 142869.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 2015881.590000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.9582288837 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 54 |
a. Name of issuer (if any). | Liberty All-Star Equity Fund |
b. LEI (if any) of issuer. (1) | 549300DLV755RNHI1N92 |
c. Title of the issue or description of the investment. | Liberty All-Star Equity Fund |
d. CUSIP (if any). | 530158104 |
At least one of the following other identifiers: |
- ISIN | US5301581048 |
- Ticker (if ISIN is not available). | USA |
Balance. (2) |
a. Balance | 256500.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 2149470.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 1.0217287805 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 55 |
a. Name of issuer (if any). | LIONHEART ACQUISITION CORP-A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Lionheart Acquisition Corp II |
d. CUSIP (if any). | 53625R112 |
At least one of the following other identifiers: |
- ISIN | US53625R1124 |
- Ticker (if ISIN is not available). | LCAPW |
Balance. (2) |
a. Balance | 25297.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 13660.380000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0064933232 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | NASDAQ CM | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | Lionheart Acquisition Corp II |
Title of issue. | Lionheart Acquisition Corp II |
At least one of the following other identifiers: |
- CUSIP. | 53625R104 |
- ISIN (if CUSIP is not available). | US53625R1041 |
- Ticker (if CUSIP and ISIN are not available). | LCAP |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2026-02-14 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -7717.370000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 56 |
a. Name of issuer (if any). | Live Oak Crestview Climate Acq |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Live Oak Crestview Climate Acquisition Corp |
d. CUSIP (if any). | 538086208 |
At least one of the following other identifiers: |
- ISIN | US5380862087 |
- Ticker (if ISIN is not available). | LOCC/U |
Balance. (2) |
a. Balance | 1621.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 16534.200000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0078593644 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 57 |
a. Name of issuer (if any). | Seven Hills Realty Trust |
b. LEI (if any) of issuer. (1) | 549300ESBDZ3SA3OEX38 |
c. Title of the issue or description of the investment. | Seven Hills Realty Trust |
d. CUSIP (if any). | 81784E101 |
At least one of the following other identifiers: |
- ISIN | US81784E1010 |
- Ticker (if ISIN is not available). | SEVN |
Balance. (2) |
a. Balance | 274093.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 2845085.340000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 1.3523824826 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 58 |
a. Name of issuer (if any). | SHAPEWAYS HOLDINGS INC |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Shapeways Holdings Inc |
d. CUSIP (if any). | 81947T110 |
At least one of the following other identifiers: |
- ISIN | US81947T1108 |
- Ticker (if ISIN is not available). | SHPW/WS |
Balance. (2) |
a. Balance | 100000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 51200.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0243374011 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | New York | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | Shapeways Holdings Inc |
Title of issue. | Shapeways Holdings Inc |
At least one of the following other identifiers: |
- CUSIP. | 81947T102 |
- ISIN (if CUSIP is not available). | US81947T1025 |
- Ticker (if CUSIP and ISIN are not available). | SHPW |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2026-10-31 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | 9668.010000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 59 |
a. Name of issuer (if any). | Invesco Treasury Portfolio |
b. LEI (if any) of issuer. (1) | 5493004B3TM8ZIDDDC39 |
c. Title of the issue or description of the investment. | Invesco Treasury Portfolio |
d. CUSIP (if any). | 825252406 |
At least one of the following other identifiers: |
- ISIN | US8252524066 |
- Ticker (if ISIN is not available). | TRPXX |
Balance. (2) |
a. Balance | 6952118.920000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 6952118.920000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 3.3046192718 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Short-term investment vehicle (e.g., money market fund, liquidity pool, or other cash management vehicle)
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 60 |
a. Name of issuer (if any). | SilverBox Engaged Merger Corp |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | SilverBox Engaged Merger Corp I |
d. CUSIP (if any). | 82836L101 |
At least one of the following other identifiers: |
- ISIN | US82836L1017 |
- Ticker (if ISIN is not available). | SBEA |
Balance. (2) |
a. Balance | 56448.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 572947.200000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.2723446449 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 61 |
a. Name of issuer (if any). | SILVERBOX ENGAGED MERGER C-A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | SilverBox Engaged Merger Corp I |
d. CUSIP (if any). | 82836L119 |
At least one of the following other identifiers: |
- ISIN | US82836L1199 |
- Ticker (if ISIN is not available). | SBEAW |
Balance. (2) |
a. Balance | 18816.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 26346.160000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0125233801 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | NASDAQ CM | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | SilverBox Engaged Merger Corp |
Title of issue. | SilverBox Engaged Merger Corp I |
At least one of the following other identifiers: |
- CUSIP. | 82836L101 |
- ISIN (if CUSIP is not available). | US82836L1017 |
- Ticker (if CUSIP and ISIN are not available). | SBEA |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2027-12-31 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -2979.590000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 62 |
a. Name of issuer (if any). | Software Acquisition Group Inc |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Software Acquisition Group Inc III |
d. CUSIP (if any). | 83407J202 |
At least one of the following other identifiers: |
- ISIN | US83407J2024 |
- Ticker (if ISIN is not available). | SWAGU |
Balance. (2) |
a. Balance | 110700.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 1118070.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.5314632433 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 63 |
a. Name of issuer (if any). | LONGVIEW ACQUISITION CORP -A |
b. LEI (if any) of issuer. (1) | 549300KFRIOC6K28E041 |
c. Title of the issue or description of the investment. | Longview Acquisition Corp II |
d. CUSIP (if any). | 54319Q113 |
At least one of the following other identifiers: |
- ISIN | US54319Q1132 |
- Ticker (if ISIN is not available). | LGV/WS |
Balance. (2) |
a. Balance | 8908.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 7570.910000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0035987553 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | New York | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | Longview Acquisition Corp II |
Title of issue. | Longview Acquisition Corp II |
At least one of the following other identifiers: |
- CUSIP. | 54319Q105 |
- ISIN (if CUSIP is not available). | US54319Q1058 |
- Ticker (if CUSIP and ISIN are not available). | LGV |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2026-05-10 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -3023.840000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 64 |
a. Name of issuer (if any). | M3-Brigade Acquisition II Corp |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | M3-Brigade Acquisition II Corp |
d. CUSIP (if any). | 553800103 |
At least one of the following other identifiers: |
- ISIN | US5538001034 |
- Ticker (if ISIN is not available). | MBAC |
Balance. (2) |
a. Balance | 57750.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 572302.500000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.2720381933 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 65 |
a. Name of issuer (if any). | JACK CREEK INVESTMENT C-CL A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Jack Creek Investment Corp |
d. CUSIP (if any). | G4989X123 |
At least one of the following other identifiers: |
- ISIN | KYG4989X1236 |
- Ticker (if ISIN is not available). | JCICW |
Balance. (2) |
a. Balance | 40689.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 21963.920000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0104403268 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | NASDAQ CM | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | Jack Creek Investment Corp |
Title of issue. | Jack Creek Investment Corp |
At least one of the following other identifiers: |
- CUSIP. | G4989X115 |
- ISIN (if CUSIP is not available). | KYG4989X1152 |
- Ticker (if CUSIP and ISIN are not available). | JCIC |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2027-12-31 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | 132.660000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 66 |
a. Name of issuer (if any). | LAMINGTON ROAD DAC |
b. LEI (if any) of issuer. (1) | 635400P3XQM8ZRLUPK27 |
c. Title of the issue or description of the investment. | Lamington Road DAC |
d. CUSIP (if any). | BP5174662 |
At least one of the following other identifiers: |
- ISIN | USG5364FAA69 |
Balance. (2) |
a. Balance | 1708119.000000000000 |
b. Units |
Principal amount
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 1204223.900000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.5724156266 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Debt
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
IRELAND
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☐ 1 ☐ 2 ☒ 3 ☐ N/A |
For debt securities, also provide: |
a. Maturity date. | 2121-04-07 |
b. Coupon. |
i. Coupon category. (13) | Fixed |
ii. Annualized rate. | 14.000000000000 |
c. Currently in default? | ☐ Yes ☒ No |
d. Are there any interest payments in arrears? (14) | ☐ Yes ☒ No |
e. Is any portion of the interest paid in kind? (15) | ☒ Yes ☐ No |
f. For convertible securities, also provide: |
i. Mandatory convertible? | ☐ Yes ☐ No |
ii. Contingent convertible? | ☐ Yes ☐ No |
iii. Description of the reference instrument. (16) |
Reference Instrument Record | Name of issuer | Title of issue | Currency in which denominated |
---|---|---|---|
— | — | — | — |
iv. Conversion ratio per US$1000 notional. (17) |
Bond Currency Record | Conversion ratio per 1000 units | ISO Currency Code |
---|---|---|
— | — | — |
v. Delta (if applicable). |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 67 |
a. Name of issuer (if any). | M3-BRIGADE ACQUISITION II-A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | M3-Brigade Acquisition II Corp |
d. CUSIP (if any). | 553800111 |
At least one of the following other identifiers: |
- ISIN | US5538001117 |
- Ticker (if ISIN is not available). | MBAC/WS |
Balance. (2) |
a. Balance | 19250.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 22330.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0106143392 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | New York | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | M3-Brigade Acquisition II Corp |
Title of issue. | M3-Brigade Acquisition II Corp |
At least one of the following other identifiers: |
- CUSIP. | 553800103 |
- ISIN (if CUSIP is not available). | US5538001034 |
- Ticker (if CUSIP and ISIN are not available). | MBAC |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2027-12-31 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | 8861.090000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 68 |
a. Name of issuer (if any). | M3-Brigade Acquisition III Cor |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | M3-Brigade Acquisition III Corp |
d. CUSIP (if any). | 55407R202 |
At least one of the following other identifiers: |
- ISIN | US55407R2022 |
- Ticker (if ISIN is not available). | MBSC/U |
Balance. (2) |
a. Balance | 110000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 1102200.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.5239195997 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 69 |
a. Name of issuer (if any). | LAMINGTON ROAD DAC |
b. LEI (if any) of issuer. (1) | 635400P3XQM8ZRLUPK27 |
c. Title of the issue or description of the investment. | Lamington Road DAC |
d. CUSIP (if any). | BP5176733 |
At least one of the following other identifiers: |
- ISIN | USG5364FAB43 |
Balance. (2) |
a. Balance | 3258653.000000000000 |
b. Units |
Principal amount
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 2345676.190000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 1.1149934045 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Debt
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
IRELAND
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☐ 1 ☐ 2 ☒ 3 ☐ N/A |
For debt securities, also provide: |
a. Maturity date. | 2121-04-07 |
b. Coupon. |
i. Coupon category. (13) | Fixed |
ii. Annualized rate. | 8.000000000000 |
c. Currently in default? | ☐ Yes ☒ No |
d. Are there any interest payments in arrears? (14) | ☐ Yes ☒ No |
e. Is any portion of the interest paid in kind? (15) | ☒ Yes ☐ No |
f. For convertible securities, also provide: |
i. Mandatory convertible? | ☐ Yes ☐ No |
ii. Contingent convertible? | ☐ Yes ☐ No |
iii. Description of the reference instrument. (16) |
Reference Instrument Record | Name of issuer | Title of issue | Currency in which denominated |
---|---|---|---|
— | — | — | — |
iv. Conversion ratio per US$1000 notional. (17) |
Bond Currency Record | Conversion ratio per 1000 units | ISO Currency Code |
---|---|---|
— | — | — |
v. Delta (if applicable). |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 70 |
a. Name of issuer (if any). | Lamington Road Grantor Trust/T |
b. LEI (if any) of issuer. (1) | 549300BZFIKWV81Y7272 |
c. Title of the issue or description of the investment. | Lamington Road Grantor Trust/The |
d. CUSIP (if any). | N/A |
At least one of the following other identifiers: |
- ISIN | KYG5365M1024 |
- Ticker (if ISIN is not available). | LAMI |
Balance. (2) |
a. Balance | 320690.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 70567.830000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0335437028 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
CAYMAN ISLANDS
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☐ 1 ☐ 2 ☒ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 71 |
a. Name of issuer (if any). | Mexico Equity and Income Fund |
b. LEI (if any) of issuer. (1) | 549300Q0OD8MQEFTBY23 |
c. Title of the issue or description of the investment. | Mexico Equity and Income Fund Inc/The |
d. CUSIP (if any). | 592834105 |
At least one of the following other identifiers: |
- ISIN | US5928341057 |
- Ticker (if ISIN is not available). | MXE |
Balance. (2) |
a. Balance | 100100.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 892892.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.4244271631 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 72 |
a. Name of issuer (if any). | Miller/Howard High Dividend Fu |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Miller/Howard High Dividend Fund |
d. CUSIP (if any). | 600379101 |
At least one of the following other identifiers: |
- ISIN | US6003791018 |
- Ticker (if ISIN is not available). | HIE |
Balance. (2) |
a. Balance | 52789.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 544782.480000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.2589568307 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 73 |
a. Name of issuer (if any). | Monmouth Real Estate Investmen |
b. LEI (if any) of issuer. (1) | 549300DFIUDCN3KVN260 |
c. Title of the issue or description of the investment. | Monmouth Real Estate Investment Corp |
d. CUSIP (if any). | 609720107 |
At least one of the following other identifiers: |
- ISIN | US6097201072 |
- Ticker (if ISIN is not available). | MNR |
Balance. (2) |
a. Balance | 60000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 1260600.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.5992134343 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 74 |
a. Name of issuer (if any). | Morgan Stanley Emerging Market |
b. LEI (if any) of issuer. (1) | 879N34XPZOOCKFD26737 |
c. Title of the issue or description of the investment. | Morgan Stanley Emerging Markets Debt Fund Inc |
d. CUSIP (if any). | 61744H105 |
At least one of the following other identifiers: |
- ISIN | US61744H1059 |
- Ticker (if ISIN is not available). | MSD |
Balance. (2) |
a. Balance | 370850.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 3341358.500000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 1.5882808997 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 75 |
a. Name of issuer (if any). | New Ireland Fund Inc/The |
b. LEI (if any) of issuer. (1) | 549300HNB2YXNXXJQ174 |
c. Title of the issue or description of the investment. | New Ireland Fund Inc/The |
d. CUSIP (if any). | 645673104 |
At least one of the following other identifiers: |
- ISIN | US6456731040 |
- Ticker (if ISIN is not available). | IRL |
Balance. (2) |
a. Balance | 77906.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 869430.960000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.4132751955 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 76 |
a. Name of issuer (if any). | NEXPOINT DIV REAL ESTA |
b. LEI (if any) of issuer. (1) | 5493008KGR2NU3OXMR64 |
c. Title of the issue or description of the investment. | NexPoint Diversified Real Esta Trust |
d. CUSIP (if any). | 65340G304 |
At least one of the following other identifiers: |
- ISIN | US65340G3048 |
- Ticker (if ISIN is not available). | NXDT |
Balance. (2) |
a. Balance | 22324.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 472375.840000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.2245390682 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-preferred
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 77 |
a. Name of issuer (if any). | Leo Holdings Corp II |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Leo Holdings Corp II |
d. CUSIP (if any). | G5463R110 |
At least one of the following other identifiers: |
- ISIN | KYG5463R1103 |
- Ticker (if ISIN is not available). | LHC/U |
Balance. (2) |
a. Balance | 49235.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 481518.300000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.2288848439 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☐ 1 ☒ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 78 |
a. Name of issuer (if any). | Marlin Technology Corp |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Marlin Technology Corp |
d. CUSIP (if any). | G58411102 |
At least one of the following other identifiers: |
- ISIN | KYG584111028 |
- Ticker (if ISIN is not available). | FINM |
Balance. (2) |
a. Balance | 17199.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 167862.240000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0797916146 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 79 |
a. Name of issuer (if any). | MARLIN TECHNOLOGY CORP-A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Marlin Technology Corp |
d. CUSIP (if any). | G58411110 |
At least one of the following other identifiers: |
- ISIN | KYG584111101 |
- Ticker (if ISIN is not available). | FINMW |
Balance. (2) |
a. Balance | 5733.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 3955.200000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0018800642 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | NASDAQ CM | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | Marlin Technology Corp |
Title of issue. | Marlin Technology Corp |
At least one of the following other identifiers: |
- CUSIP. | G58411102 |
- ISIN (if CUSIP is not available). | KYG584111028 |
- Ticker (if CUSIP and ISIN are not available). | FINM |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2026-03-05 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -619.010000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 80 |
a. Name of issuer (if any). | Macondray Capital Acquisition |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Macondray Capital Acquisition Corp I |
d. CUSIP (if any). | G5853A123 |
At least one of the following other identifiers: |
- ISIN | KYG5853A1233 |
- Ticker (if ISIN is not available). | DRAYU |
Balance. (2) |
a. Balance | 66586.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 664528.280000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.3158767832 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 81 |
a. Name of issuer (if any). | Northern Star Investment Corp |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Northern Star Investment Corp III |
d. CUSIP (if any). | 66574L100 |
At least one of the following other identifiers: |
- ISIN | US66574L1008 |
- Ticker (if ISIN is not available). | NSTC |
Balance. (2) |
a. Balance | 106998.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 1043230.500000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.4958890455 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 82 |
a. Name of issuer (if any). | NORTHERN STAR INVESTMENT -A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Northern Star Investment Corp III |
d. CUSIP (if any). | 66574L118 |
At least one of the following other identifiers: |
- ISIN | US66574L1180 |
- Ticker (if ISIN is not available). | NSTC/WS |
Balance. (2) |
a. Balance | 17833.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 15694.820000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0074603736 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | New York | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | Northern Star Investment Corp |
Title of issue. | Northern Star Investment Corp III |
At least one of the following other identifiers: |
- CUSIP. | 66574L100 |
- ISIN (if CUSIP is not available). | US66574L1008 |
- Ticker (if CUSIP and ISIN are not available). | NSTC |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2028-02-25 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -1697.560000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 83 |
a. Name of issuer (if any). | Newcourt Acquisition Corp |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Newcourt Acquisition Corp |
d. CUSIP (if any). | G6448C111 |
At least one of the following other identifiers: |
- ISIN | KYG6448C1116 |
- Ticker (if ISIN is not available). | NCACU |
Balance. (2) |
a. Balance | 135035.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 1366554.200000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.6495776895 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 84 |
a. Name of issuer (if any). | Nocturne Acquisition Corp |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Nocturne Acquisition Corp |
d. CUSIP (if any). | G6580S106 |
At least one of the following other identifiers: |
- ISIN | KYG6580S1066 |
- Ticker (if ISIN is not available). | MBTCR |
Balance. (2) |
a. Balance | 75000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 30052.500000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0142851513 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 85 |
a. Name of issuer (if any). | NORTHERN STAR INVESTMENT -A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Northern Star Investment Corp IV |
d. CUSIP (if any). | 66575B119 |
At least one of the following other identifiers: |
- ISIN | US66575B1199 |
- Ticker (if ISIN is not available). | NSTD/WS |
Balance. (2) |
a. Balance | 8833.000018000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 7596.380000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0036108622 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | New York | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | Northern Star Investment Corp |
Title of issue. | Northern Star Investment Corp IV |
At least one of the following other identifiers: |
- CUSIP. | 66575B101 |
- ISIN (if CUSIP is not available). | US66575B1017 |
- Ticker (if CUSIP and ISIN are not available). | NSTD |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2027-12-31 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -1645.100000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 86 |
a. Name of issuer (if any). | OAKTREE ACQ CORP II - CL A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Oaktree Acquisition Corp II |
d. CUSIP (if any). | G6715X111 |
At least one of the following other identifiers: |
- ISIN | KYG6715X1117 |
- Ticker (if ISIN is not available). | OACB/WS |
Balance. (2) |
a. Balance | 25000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 26502.500000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0125976948 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | New York | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | Oaktree Acquisition Corp II |
Title of issue. | Oaktree Acquisition Corp II |
At least one of the following other identifiers: |
- CUSIP. | G6715X103 |
- ISIN (if CUSIP is not available). | KYG6715X1034 |
- Ticker (if CUSIP and ISIN are not available). | OACB |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2027-09-15 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -972.870000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 87 |
a. Name of issuer (if any). | Oxbridge Acquisition Corp |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Oxbridge Acquisition Corp |
d. CUSIP (if any). | G6855L109 |
At least one of the following other identifiers: |
- ISIN | KYG6855L1095 |
- Ticker (if ISIN is not available). | OXAC |
Balance. (2) |
a. Balance | 50000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 493500.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.2345802236 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
CAYMAN ISLANDS
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☐ 1 ☒ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 88 |
a. Name of issuer (if any). | OXBRIDGE ACQUISITION CORP |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Oxbridge Acquisition Corp |
d. CUSIP (if any). | G6855L117 |
At least one of the following other identifiers: |
- ISIN | KYG6855L1178 |
- Ticker (if ISIN is not available). | OXACW |
Balance. (2) |
a. Balance | 50000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 20240.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0096208789 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | NASDAQ CM | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | Oxbridge Acquisition Corp |
Title of issue. | Oxbridge Acquisition Corp |
At least one of the following other identifiers: |
- CUSIP. | G6855L109 |
- ISIN (if CUSIP is not available). | KYG6855L1095 |
- Ticker (if CUSIP and ISIN are not available). | OXAC |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2023-01-19 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -2083.570000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 89 |
a. Name of issuer (if any). | Social Capital Suvretta Holdin |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Social Capital Suvretta Holdings Corp I |
d. CUSIP (if any). | G8253T106 |
At least one of the following other identifiers: |
- ISIN | KYG8253T1067 |
- Ticker (if ISIN is not available). | DNAA |
Balance. (2) |
a. Balance | 50000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 496500.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.2360062432 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 90 |
a. Name of issuer (if any). | Social Capital Suvretta Holdin |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Social Capital Suvretta Holdings Corp II |
d. CUSIP (if any). | G8253U103 |
At least one of the following other identifiers: |
- ISIN | KYG8253U1031 |
- Ticker (if ISIN is not available). | DNAB |
Balance. (2) |
a. Balance | 50000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 494500.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.2350555634 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 91 |
a. Name of issuer (if any). | Social Capital Suvretta Holdin |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Social Capital Suvretta Holdings Corp III |
d. CUSIP (if any). | G8253W109 |
At least one of the following other identifiers: |
- ISIN | KYG8253W1096 |
- Ticker (if ISIN is not available). | DNAC |
Balance. (2) |
a. Balance | 50000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 495000.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.2352932334 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 92 |
a. Name of issuer (if any). | Social Capital Suvretta Holdin |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Social Capital Suvretta Holdings Corp IV |
d. CUSIP (if any). | G8253Y105 |
At least one of the following other identifiers: |
- ISIN | KYG8253Y1052 |
- Ticker (if ISIN is not available). | DNAD |
Balance. (2) |
a. Balance | 50000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 491000.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.2333918739 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 93 |
a. Name of issuer (if any). | Syncora Holdings Ltd |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Syncora Holdings Ltd |
d. CUSIP (if any). | G8649T109 |
At least one of the following other identifiers: |
- ISIN | BMG8649T1099 |
- Ticker (if ISIN is not available). | SYCRF |
Balance. (2) |
a. Balance | 300000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 51000.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0242423331 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 94 |
a. Name of issuer (if any). | Tailwind Two Acquisition Corp |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Tailwind Two Acquisition Corp |
d. CUSIP (if any). | G86613109 |
At least one of the following other identifiers: |
- ISIN | KYG866131090 |
- Ticker (if ISIN is not available). | TWNT |
Balance. (2) |
a. Balance | 51249.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 506852.610000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.2409272514 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 95 |
a. Name of issuer (if any). | TAILWIND TWO ACQUISITION-A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Tailwind Two Acquisition Corp |
d. CUSIP (if any). | G86613125 |
At least one of the following other identifiers: |
- ISIN | KYG866131256 |
- Ticker (if ISIN is not available). | TWNT/WS |
Balance. (2) |
a. Balance | 17083.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 14459.050000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0068729629 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | New York | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | Tailwind Two Acquisition Corp |
Title of issue. | Tailwind Two Acquisition Corp |
At least one of the following other identifiers: |
- CUSIP. | G86613109 |
- ISIN (if CUSIP is not available). | KYG866131090 |
- Ticker (if CUSIP and ISIN are not available). | TWNT |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2028-03-09 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -5523.160000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 96 |
a. Name of issuer (if any). | Tekkorp Digital Acquisition Co |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Tekkorp Digital Acquisition Corp |
d. CUSIP (if any). | G8739H106 |
At least one of the following other identifiers: |
- ISIN | KYG8739H1065 |
- Ticker (if ISIN is not available). | TEKK |
Balance. (2) |
a. Balance | 33200.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 329676.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.1567081455 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 97 |
a. Name of issuer (if any). | SIGNA SPORTS UNITED NV |
b. LEI (if any) of issuer. (1) | 98450001A668O1060629 |
c. Title of the issue or description of the investment. | Signa Sports United NV |
d. CUSIP (if any). | N80029114 |
At least one of the following other identifiers: |
- ISIN | NL0015000M34 |
- Ticker (if ISIN is not available). | SSU/WS |
Balance. (2) |
a. Balance | 29000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 24937.100000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0118535978 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | New York | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | Yucaipa Acquisition Corp |
Title of issue. | Yucaipa Acquisition Corp |
At least one of the following other identifiers: |
- CUSIP. | G9879L105 |
- ISIN (if CUSIP is not available). | KYG9879L1059 |
- Ticker (if CUSIP and ISIN are not available). | YAC |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2023-07-02 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -16618.380000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 98 |
a. Name of issuer (if any). | Digital Health Acquisition Cor |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Digital Health Acquisition Corp |
d. CUSIP (if any). | 253893200 |
At least one of the following other identifiers: |
- ISIN | US2538932003 |
- Ticker (if ISIN is not available). | DHACU |
Balance. (2) |
a. Balance | 116000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 1187909.600000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.5646607894 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 99 |
a. Name of issuer (if any). | Dividend and Income Fund |
b. LEI (if any) of issuer. (1) | 549300GQF37VFS5FKW75 |
c. Title of the issue or description of the investment. | Dividend and Income Fund |
d. CUSIP (if any). | 25538A204 |
At least one of the following other identifiers: |
- ISIN | US25538A2042 |
- Ticker (if ISIN is not available). | DNIF |
Balance. (2) |
a. Balance | 350673.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 5105272.870000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 2.4267397189 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 100 |
a. Name of issuer (if any). | DUNE ACQUISITION CORP-CL A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Dune Acquisition Corp |
d. CUSIP (if any). | 265334110 |
At least one of the following other identifiers: |
- ISIN | US2653341105 |
- Ticker (if ISIN is not available). | DUNEW |
Balance. (2) |
a. Balance | 19300.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 9457.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0044952891 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | NASDAQ CM | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | Dune Acquisition Corp |
Title of issue. | Dune Acquisition Corp |
At least one of the following other identifiers: |
- CUSIP. | 265334102 |
- ISIN (if CUSIP is not available). | US2653341022 |
- Ticker (if CUSIP and ISIN are not available). | DUNE |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2027-10-29 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -21802.330000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 101 |
a. Name of issuer (if any). | EdtechX Holdings Acquisition C |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | EdtechX Holdings Acquisition Corp II |
d. CUSIP (if any). | 28139A102 |
At least one of the following other identifiers: |
- ISIN | US28139A1025 |
- Ticker (if ISIN is not available). | EDTX |
Balance. (2) |
a. Balance | 111000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 1111110.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.5281548779 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☐ 1 ☒ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 102 |
a. Name of issuer (if any). | EDTECHX HOLDINGS II-CLASS A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | EdtechX Holdings Acquisition Corp II |
d. CUSIP (if any). | 28139A110 |
At least one of the following other identifiers: |
- ISIN | US28139A1108 |
- Ticker (if ISIN is not available). | EDTXW |
Balance. (2) |
a. Balance | 55500.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 27417.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0130323931 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☐ 1 ☒ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | NASDAQ CM | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | EdtechX Holdings Acquisition C |
Title of issue. | EdtechX Holdings Acquisition Corp II |
At least one of the following other identifiers: |
- CUSIP. | 28139A102 |
- ISIN (if CUSIP is not available). | US28139A1025 |
- Ticker (if CUSIP and ISIN are not available). | EDTX |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2027-06-15 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -12052.070000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 103 |
a. Name of issuer (if any). | FS KKR Capital Corp |
b. LEI (if any) of issuer. (1) | 549300TYRSI1T21B1360 |
c. Title of the issue or description of the investment. | FS KKR Capital Corp |
d. CUSIP (if any). | 302635206 |
At least one of the following other identifiers: |
- ISIN | US3026352068 |
- Ticker (if ISIN is not available). | FSK |
Balance. (2) |
a. Balance | 153274.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 3209557.560000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 1.5256306586 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 104 |
a. Name of issuer (if any). | FAST Acquisition Corp II |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | FAST Acquisition Corp II |
d. CUSIP (if any). | 311874101 |
At least one of the following other identifiers: |
- ISIN | US3118741012 |
- Ticker (if ISIN is not available). | FZT |
Balance. (2) |
a. Balance | 128348.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 1247542.560000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.5930067126 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 105 |
a. Name of issuer (if any). | FAST ACQUISITION CORP II-A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | FAST Acquisition Corp II |
d. CUSIP (if any). | 311874119 |
At least one of the following other identifiers: |
- ISIN | US3118741194 |
- Ticker (if ISIN is not available). | FZT/WS |
Balance. (2) |
a. Balance | 32087.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 27915.690000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0132694403 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | New York | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | FAST Acquisition Corp II |
Title of issue. | FAST Acquisition Corp II |
At least one of the following other identifiers: |
- CUSIP. | 311874101 |
- ISIN (if CUSIP is not available). | US3118741012 |
- Ticker (if CUSIP and ISIN are not available). | FZT |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2026-03-16 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -2704.540000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 106 |
a. Name of issuer (if any). | Fidelity Government Portfolio |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Fidelity Government Portfolio |
d. CUSIP (if any). | 316175108 |
At least one of the following other identifiers: |
- ISIN | US3161751082 |
- Ticker (if ISIN is not available). | FIGXX |
Balance. (2) |
a. Balance | 6952118.930000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 6952118.930000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 3.3046192765 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Short-term investment vehicle (e.g., money market fund, liquidity pool, or other cash management vehicle)
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 107 |
a. Name of issuer (if any). | FinTech Acquisition Corp VI |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | FinTech Acquisition Corp VI |
d. CUSIP (if any). | 31811H106 |
At least one of the following other identifiers: |
- ISIN | US31811H1068 |
- Ticker (if ISIN is not available). | FTVI |
Balance. (2) |
a. Balance | 100000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 980000.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.4658330681 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 108 |
a. Name of issuer (if any). | FINTECH ACQUISITION CORP -A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | FinTech Acquisition Corp VI |
d. CUSIP (if any). | 31811H114 |
At least one of the following other identifiers: |
- ISIN | US31811H1142 |
- Ticker (if ISIN is not available). | FTVIW |
Balance. (2) |
a. Balance | 25000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 24250.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0115269917 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☐ 1 ☒ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | NASDAQ CM | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | FinTech Acquisition Corp VI |
Title of issue. | FinTech Acquisition Corp VI |
At least one of the following other identifiers: |
- CUSIP. | 31811H106 |
- ISIN (if CUSIP is not available). | US31811H1068 |
- Ticker (if CUSIP and ISIN are not available). | FTVI |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2027-12-31 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | 1403.140000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 109 |
a. Name of issuer (if any). | First Trust Dynamic Europe Equ |
b. LEI (if any) of issuer. (1) | 549300YG1NBZKURU8L08 |
c. Title of the issue or description of the investment. | First Trust Dynamic Europe Equity Income Fund |
d. CUSIP (if any). | 33740D107 |
At least one of the following other identifiers: |
- ISIN | US33740D1072 |
- Ticker (if ISIN is not available). | FDEU |
Balance. (2) |
a. Balance | 10000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 132800.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0631251341 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 110 |
a. Name of issuer (if any). | Fortress Value Acquisition Cor |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Fortress Value Acquisition Corp IV |
d. CUSIP (if any). | 34964K108 |
At least one of the following other identifiers: |
- ISIN | US34964K1088 |
- Ticker (if ISIN is not available). | FVIV |
Balance. (2) |
a. Balance | 53000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 516750.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.2456318755 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 111 |
a. Name of issuer (if any). | FORTRESS VALUE ACQUIS IV-A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Fortress Value Acquisition Corp IV |
d. CUSIP (if any). | 34964K116 |
At least one of the following other identifiers: |
- ISIN | US34964K1161 |
- Ticker (if ISIN is not available). | FVIV/WS |
Balance. (2) |
a. Balance | 6625.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 5565.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0026452664 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | New York | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | Fortress Value Acquisition Cor |
Title of issue. | Fortress Value Acquisition Corp IV |
At least one of the following other identifiers: |
- CUSIP. | 34964K108 |
- ISIN (if CUSIP is not available). | US34964K1088 |
- Ticker (if CUSIP and ISIN are not available). | FVIV |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2028-03-18 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -1283.150000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 112 |
a. Name of issuer (if any). | Forum Merger IV Corp |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Forum Merger IV Corp |
d. CUSIP (if any). | 349875104 |
At least one of the following other identifiers: |
- ISIN | US3498751045 |
- Ticker (if ISIN is not available). | FMIV |
Balance. (2) |
a. Balance | 96900.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 943806.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.4486286170 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 113 |
a. Name of issuer (if any). | FORUM MERGER IV CORP-A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Forum Merger IV Corp |
d. CUSIP (if any). | 349875112 |
At least one of the following other identifiers: |
- ISIN | US3498751128 |
- Ticker (if ISIN is not available). | FMIVW |
Balance. (2) |
a. Balance | 24225.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 19866.920000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0094435391 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | NASDAQ CM | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | Forum Merger IV Corp |
Title of issue. | Forum Merger IV Corp |
At least one of the following other identifiers: |
- CUSIP. | 349875104 |
- ISIN (if CUSIP is not available). | US3498751045 |
- Ticker (if CUSIP and ISIN are not available). | FMIV |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2027-12-31 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -5867.020000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 114 |
a. Name of issuer (if any). | Fusion Acquisition Corp II |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Fusion Acquisition Corp II |
d. CUSIP (if any). | 36118N102 |
At least one of the following other identifiers: |
- ISIN | US36118N1028 |
- Ticker (if ISIN is not available). | FSNB |
Balance. (2) |
a. Balance | 139998.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 1357980.600000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.6455023156 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 115 |
a. Name of issuer (if any). | FUSION ACQUISITION CORP II-A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Fusion Acquisition Corp II |
d. CUSIP (if any). | 36118N110 |
At least one of the following other identifiers: |
- ISIN | US36118N1101 |
- Ticker (if ISIN is not available). | FSNB/WS |
Balance. (2) |
a. Balance | 46666.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 27999.600000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0133093261 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | New York | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | Fusion Acquisition Corp II |
Title of issue. | Fusion Acquisition Corp II |
At least one of the following other identifiers: |
- CUSIP. | 36118N102 |
- ISIN (if CUSIP is not available). | US36118N1028 |
- Ticker (if CUSIP and ISIN are not available). | FSNB |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2027-12-31 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -7597.080000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 116 |
a. Name of issuer (if any). | GO Acquisition Corp |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | GO Acquisition Corp |
d. CUSIP (if any). | 362019101 |
At least one of the following other identifiers: |
- ISIN | US3620191011 |
- Ticker (if ISIN is not available). | GOAC |
Balance. (2) |
a. Balance | 150999.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 1485830.160000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.7062743083 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 117 |
a. Name of issuer (if any). | GO ACQUISITION CORP-CLASS A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | GO Acquisition Corp |
d. CUSIP (if any). | 362019119 |
At least one of the following other identifiers: |
- ISIN | US3620191193 |
- Ticker (if ISIN is not available). | GOAC/WS |
Balance. (2) |
a. Balance | 50332.999950000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 33219.780000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0157906858 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | New York | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | GO Acquisition Corp |
Title of issue. | GO Acquisition Corp |
At least one of the following other identifiers: |
- CUSIP. | 362019101 |
- ISIN (if CUSIP is not available). | US3620191011 |
- Ticker (if CUSIP and ISIN are not available). | GOAC |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2027-08-31 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -35049.300000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 118 |
a. Name of issuer (if any). | GX Acquisition Corp II |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | GX Acquisition Corp II |
d. CUSIP (if any). | 36260F105 |
At least one of the following other identifiers: |
- ISIN | US36260F1057 |
- Ticker (if ISIN is not available). | GXII |
Balance. (2) |
a. Balance | 150000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 1453995.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.6911417876 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 119 |
a. Name of issuer (if any). | GX ACQUISITION CORP II-A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | GX Acquisition Corp II |
d. CUSIP (if any). | 36260F113 |
At least one of the following other identifiers: |
- ISIN | US36260F1131 |
- Ticker (if ISIN is not available). | GXIIW |
Balance. (2) |
a. Balance | 50000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 26247.550000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0124765069 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | NASDAQ CM | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | GX Acquisition Corp II |
Title of issue. | GX Acquisition Corp II |
At least one of the following other identifiers: |
- CUSIP. | 36260F105 |
- ISIN (if CUSIP is not available). | US36260F1057 |
- Ticker (if CUSIP and ISIN are not available). | GXII |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2028-12-31 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -12964.280000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 120 |
a. Name of issuer (if any). | General American Investors Co |
b. LEI (if any) of issuer. (1) | 254900MHIF9G7IS1T951 |
c. Title of the issue or description of the investment. | General American Investors Co Inc |
d. CUSIP (if any). | 368802104 |
At least one of the following other identifiers: |
- ISIN | US3688021043 |
- Ticker (if ISIN is not available). | GAM |
Balance. (2) |
a. Balance | 287339.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 12700383.800000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 6.0369987262 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 121 |
a. Name of issuer (if any). | GigInternational1 Inc |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | GigInternational1 Inc |
d. CUSIP (if any). | 37518W106 |
At least one of the following other identifiers: |
- ISIN | US37518W1062 |
- Ticker (if ISIN is not available). | GIW |
Balance. (2) |
a. Balance | 141812.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 1408193.160000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.6693703472 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 122 |
a. Name of issuer (if any). | GIGINTERNATIONAL1 INC |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | GigInternational1 Inc |
d. CUSIP (if any). | 37518W114 |
At least one of the following other identifiers: |
- ISIN | US37518W1146 |
- Ticker (if ISIN is not available). | GIWWW |
Balance. (2) |
a. Balance | 70906.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 41097.190000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0195351328 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | NASDAQ CM | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | GigInternational1 Inc |
Title of issue. | GigInternational1 Inc |
At least one of the following other identifiers: |
- CUSIP. | 37518W106 |
- ISIN (if CUSIP is not available). | US37518W1062 |
- Ticker (if CUSIP and ISIN are not available). | GIW |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2028-12-31 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -25643.550000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 123 |
a. Name of issuer (if any). | Gores Guggenheim Inc |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Gores Guggenheim Inc |
d. CUSIP (if any). | 38286Q107 |
At least one of the following other identifiers: |
- ISIN | US38286Q1076 |
- Ticker (if ISIN is not available). | GGPI |
Balance. (2) |
a. Balance | 26680.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 312156.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.1483801910 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 124 |
a. Name of issuer (if any). | GORES GUGGENHEIM INC -CL A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Gores Guggenheim Inc |
d. CUSIP (if any). | 38286Q115 |
At least one of the following other identifiers: |
- ISIN | US38286Q1159 |
- Ticker (if ISIN is not available). | GGPIW |
Balance. (2) |
a. Balance | 10000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 38399.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0182525755 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | NASDAQ CM | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | Gores Guggenheim Inc |
Title of issue. | Gores Guggenheim Inc |
At least one of the following other identifiers: |
- CUSIP. | 38286Q107 |
- ISIN (if CUSIP is not available). | US38286Q1076 |
- Ticker (if CUSIP and ISIN are not available). | GGPI |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2027-12-31 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | 28141.670000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 125 |
a. Name of issuer (if any). | Graf Acquisition Corp IV |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Graf Acquisition Corp IV |
d. CUSIP (if any). | 384272209 |
At least one of the following other identifiers: |
- ISIN | US3842722098 |
- Ticker (if ISIN is not available). | GFOR/U |
Balance. (2) |
a. Balance | 100000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 990000.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.4705864668 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☐ 1 ☒ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 126 |
a. Name of issuer (if any). | Haymaker Acquisition Corp III |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Haymaker Acquisition Corp III |
d. CUSIP (if any). | 42087R108 |
At least one of the following other identifiers: |
- ISIN | US42087R1086 |
- Ticker (if ISIN is not available). | HYAC |
Balance. (2) |
a. Balance | 106084.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 1039623.200000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.4941743520 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 127 |
a. Name of issuer (if any). | HAYMAKER ACQUISITION CORP-A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Haymaker Acquisition Corp III |
d. CUSIP (if any). | 42087R116 |
At least one of the following other identifiers: |
- ISIN | US42087R1169 |
- Ticker (if ISIN is not available). | HYACW |
Balance. (2) |
a. Balance | 26521.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 19095.120000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0090766718 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | NASDAQ CM | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | Haymaker Acquisition Corp III |
Title of issue. | Haymaker Acquisition Corp III |
At least one of the following other identifiers: |
- CUSIP. | 42087R108 |
- ISIN (if CUSIP is not available). | US42087R1086 |
- Ticker (if CUSIP and ISIN are not available). | HYAC |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2027-02-12 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -3467.170000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 128 |
a. Name of issuer (if any). | Healthcare Services Acquisitio |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Healthcare Services Acquisition Corp |
d. CUSIP (if any). | 42227K203 |
At least one of the following other identifiers: |
- ISIN | US42227K2033 |
- Ticker (if ISIN is not available). | HCARU |
Balance. (2) |
a. Balance | 100000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 994000.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.4724878262 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 129 |
a. Name of issuer (if any). | High Income Securities Fund |
b. LEI (if any) of issuer. (1) | 25RM533JWPQG19PQ1G87 |
c. Title of the issue or description of the investment. | High Income Securities Fund |
d. CUSIP (if any). | 42968F108 |
At least one of the following other identifiers: |
- ISIN | US42968F1084 |
- Ticker (if ISIN is not available). | PCF |
Balance. (2) |
a. Balance | 300200.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 2596730.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 1.2343292887 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 130 |
a. Name of issuer (if any). | Highland Income Fund |
b. LEI (if any) of issuer. (1) | 254900CMUE9FRYL2UR80 |
c. Title of the issue or description of the investment. | Highland Income Fund |
d. CUSIP (if any). | 43010E404 |
At least one of the following other identifiers: |
- ISIN | US43010E4044 |
- Ticker (if ISIN is not available). | HFRO |
Balance. (2) |
a. Balance | 387178.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 4255086.220000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 2.0226121111 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 131 |
a. Name of issuer (if any). | Highland Global Allocation Fun |
b. LEI (if any) of issuer. (1) | 549300Y627XJ58WI3L10 |
c. Title of the issue or description of the investment. | Highland Global Allocation Fund/CEF |
d. CUSIP (if any). | 43010T104 |
At least one of the following other identifiers: |
- ISIN | US43010T1043 |
- Ticker (if ISIN is not available). | HGLB |
Balance. (2) |
a. Balance | 145823.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 1322614.610000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.6286914507 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 132 |
a. Name of issuer (if any). | Howard Hughes Corp/The |
b. LEI (if any) of issuer. (1) | 549300BVHY25JZC1KI49 |
c. Title of the issue or description of the investment. | Howard Hughes Corp/The |
d. CUSIP (if any). | 44267D107 |
At least one of the following other identifiers: |
- ISIN | US44267D1072 |
- Ticker (if ISIN is not available). | HHC |
Balance. (2) |
a. Balance | 12000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 1221360.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.5805610980 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 133 |
a. Name of issuer (if any). | IG ACQUISITION CORP-CLASS A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | IG Acquisition Corp |
d. CUSIP (if any). | 449534114 |
At least one of the following other identifiers: |
- ISIN | US4495341145 |
- Ticker (if ISIN is not available). | IGACW |
Balance. (2) |
a. Balance | 88173.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 70106.440000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0333243858 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | NASDAQ CM | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | IG Acquisition Corp |
Title of issue. | IG Acquisition Corp |
At least one of the following other identifiers: |
- CUSIP. | 449534106 |
- ISIN (if CUSIP is not available). | US4495341061 |
- Ticker (if CUSIP and ISIN are not available). | IGAC |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2027-10-05 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -73165.160000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 134 |
a. Name of issuer (if any). | IMEDIA BRANDS INC |
b. LEI (if any) of issuer. (1) | 5299009C9SZXPB0EEN07 |
c. Title of the issue or description of the investment. | iMedia Brands Inc |
d. CUSIP (if any). | 452465305 |
At least one of the following other identifiers: |
- ISIN | US4524653056 |
- Ticker (if ISIN is not available). | IMBI |
Balance. (2) |
a. Balance | 50000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 1060000.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.5038602573 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-preferred
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 135 |
a. Name of issuer (if any). | Indus Realty Trust Inc |
b. LEI (if any) of issuer. (1) | 549300FS2G2L16L2GO91 |
c. Title of the issue or description of the investment. | Indus Realty Trust Inc |
d. CUSIP (if any). | 45580R103 |
At least one of the following other identifiers: |
- ISIN | US45580R1032 |
- Ticker (if ISIN is not available). | INDT |
Balance. (2) |
a. Balance | 72874.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 5907166.440000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 2.8079117006 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 136 |
a. Name of issuer (if any). | Industrial Human Capital Inc |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Industrial Human Capital Inc |
d. CUSIP (if any). | 45617P104 |
At least one of the following other identifiers: |
- ISIN | US45617P1049 |
- Ticker (if ISIN is not available). | AXH |
Balance. (2) |
a. Balance | 111300.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 1104096.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.5248208440 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 137 |
a. Name of issuer (if any). | INDUSTRIAL HUMAN CAPITAL INC |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Industrial Human Capital Inc |
d. CUSIP (if any). | 45617P112 |
At least one of the following other identifiers: |
- ISIN | US45617P1122 |
- Ticker (if ISIN is not available). | AXH/WS |
Balance. (2) |
a. Balance | 111300.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 42294.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0201040243 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | New York | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | Industrial Human Capital Inc |
Title of issue. | Industrial Human Capital Inc |
At least one of the following other identifiers: |
- CUSIP. | 45617P104 |
- ISIN (if CUSIP is not available). | US45617P1049 |
- Ticker (if CUSIP and ISIN are not available). | AXH |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2028-12-31 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | 110.330000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 138 |
a. Name of issuer (if any). | Insight Acquisition Corp/DE |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Insight Acquisition Corp/DE |
d. CUSIP (if any). | 45784L209 |
At least one of the following other identifiers: |
- ISIN | US45784L2097 |
- Ticker (if ISIN is not available). | INAQ/U |
Balance. (2) |
a. Balance | 24900.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 248751.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.1182412669 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 139 |
a. Name of issuer (if any). | Japan Smaller Capitalization F |
b. LEI (if any) of issuer. (1) | 5493000KJSHWEB3YKZ37 |
c. Title of the issue or description of the investment. | Japan Smaller Capitalization Fund Inc |
d. CUSIP (if any). | 47109U104 |
At least one of the following other identifiers: |
- ISIN | US47109U1043 |
- Ticker (if ISIN is not available). | JOF |
Balance. (2) |
a. Balance | 143972.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 1133059.640000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.5385884168 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 140 |
a. Name of issuer (if any). | KKR Acquisition Holdings I Cor |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | KKR Acquisition Holdings I Corp |
d. CUSIP (if any). | 48253T109 |
At least one of the following other identifiers: |
- ISIN | US48253T1097 |
- Ticker (if ISIN is not available). | KAHC |
Balance. (2) |
a. Balance | 100000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 974000.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.4629810289 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 141 |
a. Name of issuer (if any). | KKR ACQUISITION HOLDINGS I-A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | KKR Acquisition Holdings I Corp |
d. CUSIP (if any). | 48253T117 |
At least one of the following other identifiers: |
- ISIN | US48253T1170 |
- Ticker (if ISIN is not available). | KAHC/WS |
Balance. (2) |
a. Balance | 25000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 24965.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0118668597 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | New York | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | KKR Acquisition Holdings I Cor |
Title of issue. | KKR Acquisition Holdings I Corp |
At least one of the following other identifiers: |
- CUSIP. | 48253T109 |
- ISIN (if CUSIP is not available). | US48253T1097 |
- Ticker (if CUSIP and ISIN are not available). | KAHC |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2027-12-31 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -2791.930000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 142 |
a. Name of issuer (if any). | Landcadia Holdings IV Inc |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Landcadia Holdings IV Inc |
d. CUSIP (if any). | 51477A104 |
At least one of the following other identifiers: |
- ISIN | US51477A1043 |
- Ticker (if ISIN is not available). | LCA |
Balance. (2) |
a. Balance | 100000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 973000.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.4625056890 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 143 |
a. Name of issuer (if any). | LANDCADIA HOLDINGS IV INC-A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Landcadia Holdings IV Inc |
d. CUSIP (if any). | 51477A112 |
At least one of the following other identifiers: |
- ISIN | US51477A1126 |
- Ticker (if ISIN is not available). | LCAHW |
Balance. (2) |
a. Balance | 25000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 25250.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0120023316 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | NASDAQ CM | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | Landcadia Holdings IV Inc |
Title of issue. | Landcadia Holdings IV Inc |
At least one of the following other identifiers: |
- CUSIP. | 51477A104 |
- ISIN (if CUSIP is not available). | US51477A1043 |
- Ticker (if CUSIP and ISIN are not available). | LCA |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2028-12-31 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | 5545.570000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 144 |
a. Name of issuer (if any). | Larkspur Health Acquisition Co |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Larkspur Health Acquisition Corp |
d. CUSIP (if any). | 51724W206 |
At least one of the following other identifiers: |
- ISIN | US51724W2061 |
- Ticker (if ISIN is not available). | LSPRU |
Balance. (2) |
a. Balance | 87000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 871740.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.4143727743 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 145 |
a. Name of issuer (if any). | Spartan Acquisition Corp III |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Spartan Acquisition Corp III |
d. CUSIP (if any). | 84677R106 |
At least one of the following other identifiers: |
- ISIN | US84677R1068 |
- Ticker (if ISIN is not available). | SPAQ |
Balance. (2) |
a. Balance | 75016.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 740407.920000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.3519454010 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 146 |
a. Name of issuer (if any). | SPARTAN ACQUISITION III-A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Spartan Acquisition Corp III |
d. CUSIP (if any). | 84677R114 |
At least one of the following other identifiers: |
- ISIN | US84677R1142 |
- Ticker (if ISIN is not available). | SPAQ/WS |
Balance. (2) |
a. Balance | 18754.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 27005.760000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0128369143 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | New York | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | Spartan Acquisition Corp III |
Title of issue. | Spartan Acquisition Corp III |
At least one of the following other identifiers: |
- CUSIP. | 84677R106 |
- ISIN (if CUSIP is not available). | US84677R1068 |
- Ticker (if CUSIP and ISIN are not available). | SPAQ |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2026-02-04 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | 2218.130000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 147 |
a. Name of issuer (if any). | SuRo Capital Corp |
b. LEI (if any) of issuer. (1) | 549300YR4IAV0VJFWN84 |
c. Title of the issue or description of the investment. | SuRo Capital Corp |
d. CUSIP (if any). | 86887Q109 |
At least one of the following other identifiers: |
- ISIN | US86887Q1094 |
- Ticker (if ISIN is not available). | SSSS |
Balance. (2) |
a. Balance | 478642.537000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 6198420.850000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 2.9463565326 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 148 |
a. Name of issuer (if any). | Swiss Helvetia Fund Inc/The |
b. LEI (if any) of issuer. (1) | 549300HQZ0XPGTS5Q724 |
c. Title of the issue or description of the investment. | Swiss Helvetia Fund Inc/The |
d. CUSIP (if any). | 870875101 |
At least one of the following other identifiers: |
- ISIN | US8708751016 |
- Ticker (if ISIN is not available). | SWZ |
Balance. (2) |
a. Balance | 236992.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 2355700.480000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 1.1197583491 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 149 |
a. Name of issuer (if any). | Synchronoss Technologies Inc |
b. LEI (if any) of issuer. (1) | 5493007Z5J8Z2TA76376 |
c. Title of the issue or description of the investment. | Synchronoss Technologies Inc |
d. CUSIP (if any). | 87157B103 |
At least one of the following other identifiers: |
- ISIN | US87157B1035 |
- Ticker (if ISIN is not available). | SNCR |
Balance. (2) |
a. Balance | 75000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 183000.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0869871954 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 150 |
a. Name of issuer (if any). | TG Venture Acquisition Corp |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | TG Venture Acquisition Corp |
d. CUSIP (if any). | 87251T109 |
At least one of the following other identifiers: |
- ISIN | US87251T1097 |
- Ticker (if ISIN is not available). | TGVC |
Balance. (2) |
a. Balance | 100000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 981900.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.4667362139 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 151 |
a. Name of issuer (if any). | TG VENTURE ACQUISITION CORP |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | TG Venture Acquisition Corp |
d. CUSIP (if any). | 87251T117 |
At least one of the following other identifiers: |
- ISIN | US87251T1170 |
- Ticker (if ISIN is not available). | TGVCW |
Balance. (2) |
a. Balance | 100000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 42990.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0204348608 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | NASDAQ GM | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | TG Venture Acquisition Corp |
Title of issue. | TG Venture Acquisition Corp |
At least one of the following other identifiers: |
- CUSIP. | 87251T109 |
- ISIN (if CUSIP is not available). | US87251T1097 |
- Ticker (if CUSIP and ISIN are not available). | TGVC |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2023-08-13 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -699.320000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 152 |
a. Name of issuer (if any). | Taiwan Fund Inc/The/MD |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Taiwan Fund Inc/The/MD |
d. CUSIP (if any). | 874036106 |
At least one of the following other identifiers: |
- ISIN | US8740361063 |
- Ticker (if ISIN is not available). | TWN |
Balance. (2) |
a. Balance | 204099.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 7667999.430000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 3.6449058171 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 153 |
a. Name of issuer (if any). | Texas Pacific Land Corp |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Texas Pacific Land Corp |
d. CUSIP (if any). | 88262P102 |
At least one of the following other identifiers: |
- ISIN | US88262P1021 |
- Ticker (if ISIN is not available). | TPL |
Balance. (2) |
a. Balance | 2700.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 3371949.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 1.6028217838 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 154 |
a. Name of issuer (if any). | Tishman Speyer Innovation Corp |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Tishman Speyer Innovation Corp II |
d. CUSIP (if any). | 88825H209 |
At least one of the following other identifiers: |
- ISIN | US88825H2094 |
- Ticker (if ISIN is not available). | TSIBU |
Balance. (2) |
a. Balance | 93530.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 921270.500000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.4379165955 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 155 |
a. Name of issuer (if any). | Tortoise Power and Energy Infr |
b. LEI (if any) of issuer. (1) | 549300O8GKMVVEB04345 |
c. Title of the issue or description of the investment. | Tortoise Power and Energy Infrastructure Fund Inc |
d. CUSIP (if any). | 89147X104 |
At least one of the following other identifiers: |
- ISIN | US89147X1046 |
- Ticker (if ISIN is not available). | TPZ |
Balance. (2) |
a. Balance | 208356.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 2837808.720000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 1.3489236150 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 156 |
a. Name of issuer (if any). | Tortoise Energy Independence F |
b. LEI (if any) of issuer. (1) | 5493005UTWHF1U2B2H30 |
c. Title of the issue or description of the investment. | Tortoise Energy Independence Fund Inc |
d. CUSIP (if any). | 89148K200 |
At least one of the following other identifiers: |
- ISIN | US89148K2006 |
- Ticker (if ISIN is not available). | NDP |
Balance. (2) |
a. Balance | 55315.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 1224685.160000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.5821416791 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 157 |
a. Name of issuer (if any). | Trinity Place Holdings Inc |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Trinity Place Holdings Inc |
d. CUSIP (if any). | 89656D101 |
At least one of the following other identifiers: |
- ISIN | US89656D1019 |
- Ticker (if ISIN is not available). | TPHS |
Balance. (2) |
a. Balance | 190851.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 351165.840000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.1669231231 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 158 |
a. Name of issuer (if any). | LAMINGTON ROAD WT |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | LAMINGTON ROAD WT |
d. CUSIP (if any). | N/A |
At least one of the following other identifiers: |
- Other unique identifier (if ticker and ISIN are not available). Indicate the type of identifier used | 8AMCSG9E6 |
Description of other unique identifier. | USER DEFINED |
Balance. (2) |
a. Balance | 640000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | .000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0000000000 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
CAYMAN ISLANDS
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☒ Yes ☐ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☐ 1 ☐ 2 ☒ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | Unknown | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | Lamington Road Grantor Trust/T |
Title of issue. | Lamington Road Grantor Trust/The |
At least one of the following other identifiers: |
- CUSIP. | N/A |
- ISIN (if CUSIP is not available). | KYG5365M1024 |
- Ticker (if CUSIP and ISIN are not available). | LAMI |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 0.200000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2025-07-28 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -.060000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 159 |
a. Name of issuer (if any). | Vertical Capital Income Fund |
b. LEI (if any) of issuer. (1) | 549300LVMWHJGZNVXZ22 |
c. Title of the issue or description of the investment. | Vertical Capital Income Fund |
d. CUSIP (if any). | 92535C104 |
At least one of the following other identifiers: |
- ISIN | US92535C1045 |
- Ticker (if ISIN is not available). | VCIF |
Balance. (2) |
a. Balance | 310486.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 3166957.200000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 1.5053810092 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 160 |
a. Name of issuer (if any). | Village Super Market Inc |
b. LEI (if any) of issuer. (1) | 25490069686XCNNEMQ07 |
c. Title of the issue or description of the investment. | Village Super Market Inc |
d. CUSIP (if any). | 927107409 |
At least one of the following other identifiers: |
- ISIN | US9271074091 |
- Ticker (if ISIN is not available). | VLGEA |
Balance. (2) |
a. Balance | 44607.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 1043357.730000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.4959495230 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 161 |
a. Name of issuer (if any). | Yellowstone Acquisition Co |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Yellowstone Acquisition Co |
d. CUSIP (if any). | 98566K105 |
At least one of the following other identifiers: |
- ISIN | US98566K1051 |
- Ticker (if ISIN is not available). | YSAC |
Balance. (2) |
a. Balance | 140020.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 1424003.400000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.6768855845 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 162 |
a. Name of issuer (if any). | YELLOWSTONE ACQUISIT CO-CL A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Yellowstone Acquisition Co |
d. CUSIP (if any). | 98566K113 |
At least one of the following other identifiers: |
- ISIN | US98566K1135 |
- Ticker (if ISIN is not available). | YSACW |
Balance. (2) |
a. Balance | 95010.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 77927.200000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0370419048 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | NASDAQ CM | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | Yellowstone Acquisition Co |
Title of issue. | Yellowstone Acquisition Co |
At least one of the following other identifiers: |
- CUSIP. | 98566K105 |
- ISIN (if CUSIP is not available). | US98566K1051 |
- Ticker (if CUSIP and ISIN are not available). | YSAC |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2025-10-21 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -8939.090000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 163 |
a. Name of issuer (if any). | Z-Work Acquisition Corp |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Z-Work Acquisition Corp |
d. CUSIP (if any). | 98880C102 |
At least one of the following other identifiers: |
- ISIN | US98880C1027 |
- Ticker (if ISIN is not available). | ZWRK |
Balance. (2) |
a. Balance | 72000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 700560.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.3330040961 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☐ 1 ☒ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 164 |
a. Name of issuer (if any). | Z-WORK ACQUISITION CORP-A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Z-Work Acquisition Corp |
d. CUSIP (if any). | 98880C110 |
At least one of the following other identifiers: |
- ISIN | US98880C1100 |
- Ticker (if ISIN is not available). | ZWRKW |
Balance. (2) |
a. Balance | 24000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 14764.820000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0070183076 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | NASDAQ CM | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | Z-Work Acquisition Corp |
Title of issue. | Z-Work Acquisition Corp |
At least one of the following other identifiers: |
- CUSIP. | 98880C102 |
- ISIN (if CUSIP is not available). | US98880C1027 |
- Ticker (if CUSIP and ISIN are not available). | ZWRK |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2026-01-04 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -5137.090000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 165 |
a. Name of issuer (if any). | ABG Acquisition Corp I |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | ABG Acquisition Corp I |
d. CUSIP (if any). | G00496102 |
At least one of the following other identifiers: |
- ISIN | KYG004961028 |
- Ticker (if ISIN is not available). | ABGI |
Balance. (2) |
a. Balance | 15000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 146700.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0697323583 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 166 |
a. Name of issuer (if any). | AGBA ACQUISITION LTD |
b. LEI (if any) of issuer. (1) | 5493006NA1XBERP7JE98 |
c. Title of the issue or description of the investment. | Agba Acquisition Ltd |
d. CUSIP (if any). | G0120M117 |
At least one of the following other identifiers: |
- ISIN | VGG0120M1178 |
- Ticker (if ISIN is not available). | AGBAW |
Balance. (2) |
a. Balance | 51750.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 11317.730000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0053797683 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | NASDAQ CM | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | Agba Acquisition Ltd |
Title of issue. | Agba Acquisition Ltd |
At least one of the following other identifiers: |
- CUSIP. | G0120M109 |
- ISIN (if CUSIP is not available). | VGG0120M1095 |
- Ticker (if CUSIP and ISIN are not available). | AGBA |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2024-05-10 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | 6202.100000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 167 |
a. Name of issuer (if any). | Agba Acquisition Ltd |
b. LEI (if any) of issuer. (1) | 5493006NA1XBERP7JE98 |
c. Title of the issue or description of the investment. | Agba Acquisition Ltd |
d. CUSIP (if any). | G0120M125 |
At least one of the following other identifiers: |
- ISIN | VGG0120M1251 |
- Ticker (if ISIN is not available). | AGBAR |
Balance. (2) |
a. Balance | 12500.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 2087.500000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0009922720 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
HONG KONG
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 168 |
a. Name of issuer (if any). | Austerlitz Acquisition Corp I |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Austerlitz Acquisition Corp I |
d. CUSIP (if any). | G0633D109 |
At least one of the following other identifiers: |
- ISIN | KYG0633D1097 |
- Ticker (if ISIN is not available). | AUS |
Balance. (2) |
a. Balance | 50000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 485500.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.2307775047 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 169 |
a. Name of issuer (if any). | Austerlitz Acquisition Corp II |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Austerlitz Acquisition Corp II |
d. CUSIP (if any). | G0633U101 |
At least one of the following other identifiers: |
- ISIN | KYG0633U1013 |
- Ticker (if ISIN is not available). | ASZ |
Balance. (2) |
a. Balance | 100000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 972000.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.4620303492 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 170 |
a. Name of issuer (if any). | AUTHENTIC EQUITY ACQUISITI-A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Authentic Equity Acquisition Corp |
d. CUSIP (if any). | G06607124 |
At least one of the following other identifiers: |
- ISIN | KYG066071245 |
- Ticker (if ISIN is not available). | AEACW |
Balance. (2) |
a. Balance | 54000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 29138.400000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0138506431 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | NASDAQ CM | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | Authentic Equity Acquisition C |
Title of issue. | Authentic Equity Acquisition Corp |
At least one of the following other identifiers: |
- CUSIP. | G06607108 |
- ISIN (if CUSIP is not available). | KYG066071088 |
- Ticker (if CUSIP and ISIN are not available). | AEAC |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2027-12-31 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -4898.620000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 171 |
a. Name of issuer (if any). | Blockchain Coinvestors Acquisi |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Blockchain Coinvestors Acquisition Corp I |
d. CUSIP (if any). | G11765123 |
At least one of the following other identifiers: |
- ISIN | KYG117651235 |
- Ticker (if ISIN is not available). | BCSAU |
Balance. (2) |
a. Balance | 65000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 657150.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.3123695926 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
CAYMAN ISLANDS
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 172 |
a. Name of issuer (if any). | Bridgetown 2 Holdings Ltd |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Bridgetown 2 Holdings Ltd |
d. CUSIP (if any). | G1355V103 |
At least one of the following other identifiers: |
- ISIN | KYG1355V1032 |
- Ticker (if ISIN is not available). | BTNB |
Balance. (2) |
a. Balance | 64738.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 641553.580000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.3049559924 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
HONG KONG
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 173 |
a. Name of issuer (if any). | Cactus Acquisition Corp 1 Ltd |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Cactus Acquisition Corp 1 Ltd |
d. CUSIP (if any). | G1745A116 |
At least one of the following other identifiers: |
- ISIN | KYG1745A1168 |
- Ticker (if ISIN is not available). | CCTSU |
Balance. (2) |
a. Balance | 81400.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 822140.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.3907959170 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 174 |
a. Name of issuer (if any). | Corner Growth Acquisition Corp |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Corner Growth Acquisition Corp |
d. CUSIP (if any). | G2425N105 |
At least one of the following other identifiers: |
- ISIN | KYG2425N1051 |
- Ticker (if ISIN is not available). | COOL |
Balance. (2) |
a. Balance | 99999.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 979990.200000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.4658284098 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 175 |
a. Name of issuer (if any). | CORNER GROWTH ACQUISITION-A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Corner Growth Acquisition Corp |
d. CUSIP (if any). | G2425N113 |
At least one of the following other identifiers: |
- ISIN | KYG2425N1135 |
- Ticker (if ISIN is not available). | COOLW |
Balance. (2) |
a. Balance | 33333.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 22996.400000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0109311057 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | NASDAQ CM | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | Corner Growth Acquisition Corp |
Title of issue. | Corner Growth Acquisition Corp |
At least one of the following other identifiers: |
- CUSIP. | G2425N105 |
- ISIN (if CUSIP is not available). | KYG2425N1051 |
- Ticker (if CUSIP and ISIN are not available). | COOL |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2027-12-31 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -15186.230000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 176 |
a. Name of issuer (if any). | Corner Growth Acquisition Corp |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Corner Growth Acquisition Corp 2 |
d. CUSIP (if any). | G2426E112 |
At least one of the following other identifiers: |
- ISIN | KYG2426E1127 |
- Ticker (if ISIN is not available). | TRONU |
Balance. (2) |
a. Balance | 39800.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 398796.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.1895636370 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☐ 1 ☒ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 177 |
a. Name of issuer (if any). | ASA Gold and Precious Metals L |
b. LEI (if any) of issuer. (1) | 254900VOUR4617HGCL14 |
c. Title of the issue or description of the investment. | ASA Gold and Precious Metals Ltd |
d. CUSIP (if any). | G3156P103 |
At least one of the following other identifiers: |
- ISIN | BMG3156P1032 |
- Ticker (if ISIN is not available). | ASA |
Balance. (2) |
a. Balance | 13645.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 287773.050000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.1367900029 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Registered fund
|
a. ISO country code. (8) |
BERMUDA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 178 |
a. Name of issuer (if any). | CC Neuberger Principal Holding |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | CC Neuberger Principal Holdings II |
d. CUSIP (if any). | G3166T103 |
At least one of the following other identifiers: |
- ISIN | KYG3166T1031 |
- Ticker (if ISIN is not available). | PRPB |
Balance. (2) |
a. Balance | 104700.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 1036530.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.4927040307 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 179 |
a. Name of issuer (if any). | CC NEUBERGER PRINCIPAL II-A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | CC Neuberger Principal Holdings II |
d. CUSIP (if any). | G3166T111 |
At least one of the following other identifiers: |
- ISIN | KYG3166T1114 |
- Ticker (if ISIN is not available). | PRPB/WS |
Balance. (2) |
a. Balance | 26175.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 35598.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0169211485 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | New York | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | CC Neuberger Principal Holding |
Title of issue. | CC Neuberger Principal Holdings II |
At least one of the following other identifiers: |
- CUSIP. | G3166T103 |
- ISIN (if CUSIP is not available). | KYG3166T1031 |
- Ticker (if CUSIP and ISIN are not available). | PRPB |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2025-07-29 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | 6302.530000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 180 |
a. Name of issuer (if any). | Ares Acquisition Corp |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Ares Acquisition Corp |
d. CUSIP (if any). | G33032106 |
At least one of the following other identifiers: |
- ISIN | KYG330321061 |
- Ticker (if ISIN is not available). | AAC |
Balance. (2) |
a. Balance | 100000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 974000.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.4629810289 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 181 |
a. Name of issuer (if any). | ARES ACQUISITION CORP-A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Ares Acquisition Corp |
d. CUSIP (if any). | G33032122 |
At least one of the following other identifiers: |
- ISIN | KYG330321228 |
- Ticker (if ISIN is not available). | AAC/WS |
Balance. (2) |
a. Balance | 20000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 17822.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0084715071 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | New York | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | Ares Acquisition Corp |
Title of issue. | Ares Acquisition Corp |
At least one of the following other identifiers: |
- CUSIP. | G33032106 |
- ISIN (if CUSIP is not available). | KYG330321061 |
- Ticker (if CUSIP and ISIN are not available). | AAC |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2027-12-31 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -3219.790000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 182 |
a. Name of issuer (if any). | ALBERTON ACQUISITION CORP |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Alberton Acquisition Corp |
d. CUSIP (if any). | G35006124 |
At least one of the following other identifiers: |
- ISIN | VGG350061245 |
- Ticker (if ISIN is not available). | ALACW |
Balance. (2) |
a. Balance | 36300.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 6534.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0031058707 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | NASDAQ CM | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | Alberton Acquisition Corp |
Title of issue. | Alberton Acquisition Corp |
At least one of the following other identifiers: |
- CUSIP. | G35006108 |
- ISIN (if CUSIP is not available). | VGG350061088 |
- Ticker (if CUSIP and ISIN are not available). | ALAC |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2023-11-21 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | 4384.630000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 183 |
a. Name of issuer (if any). | Alberton Acquisition Corp |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Alberton Acquisition Corp |
d. CUSIP (if any). | G35006132 |
At least one of the following other identifiers: |
- ISIN | VGG350061328 |
- Ticker (if ISIN is not available). | ALACR |
Balance. (2) |
a. Balance | 70000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 24808.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0117922314 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
HONG KONG
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 184 |
a. Name of issuer (if any). | FTAC Hera Acquisition Corp |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | FTAC Hera Acquisition Corp |
d. CUSIP (if any). | G3728Y103 |
At least one of the following other identifiers: |
- ISIN | KYG3728Y1035 |
- Ticker (if ISIN is not available). | HERA |
Balance. (2) |
a. Balance | 142000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 1387340.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.6594580089 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 185 |
a. Name of issuer (if any). | FTAC HERA ACQUISITION CORP-A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | FTAC Hera Acquisition Corp |
d. CUSIP (if any). | G3728Y111 |
At least one of the following other identifiers: |
- ISIN | KYG3728Y1118 |
- Ticker (if ISIN is not available). | HERAW |
Balance. (2) |
a. Balance | 35500.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 33703.700000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0160207122 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | NASDAQ CM | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | FTAC Hera Acquisition Corp |
Title of issue. | FTAC Hera Acquisition Corp |
At least one of the following other identifiers: |
- CUSIP. | G3728Y103 |
- ISIN (if CUSIP is not available). | KYG3728Y1035 |
- Ticker (if CUSIP and ISIN are not available). | HERA |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2027-12-31 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -8832.460000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 186 |
a. Name of issuer (if any). | G Squared Ascend II Inc |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | G Squared Ascend II Inc |
d. CUSIP (if any). | G42041106 |
At least one of the following other identifiers: |
- ISIN | KYG420411061 |
- Ticker (if ISIN is not available). | GSQB |
Balance. (2) |
a. Balance | 67998.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 659580.600000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.3135249536 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☐ 1 ☒ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 187 |
a. Name of issuer (if any). | G SQUARED ASCEND II INC -A |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | G Squared Ascend II Inc |
d. CUSIP (if any). | G42041122 |
At least one of the following other identifiers: |
- ISIN | KYG420411228 |
- Ticker (if ISIN is not available). | GSQB/WS |
Balance. (2) |
a. Balance | 22666.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 13597.330000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0064633530 |
a. Payoff profile. (5) | ☐ Long ☐ Short ☒ N/A |
a. Asset type. (6) |
Derivative-equity
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
a. Type of derivative instrument (21) |
Warrant
|
b. Counterparty. |
i. Provide the name and LEI (if any) of counterparty (including a central counterparty). |
Counterparty Info Record | Name of counterparty | LEI (if any) of counterparty |
---|---|---|
#1 | New York | N/A |
ii. Type, selected from among the following (put, call). Respond call for warrants. | ☐ Put ☒ Call |
iii. Payoff profile, selected from among the following (written, purchased). Respond purchased for warrants. | ☐ Written ☒ Purchased |
3. The reference instrument is neither a derivative or an index (28) |
Name of issuer. | G Squared Ascend II Inc |
Title of issue. | G Squared Ascend II Inc |
At least one of the following other identifiers: |
- CUSIP. | G42041106 |
- ISIN (if CUSIP is not available). | KYG420411061 |
- Ticker (if CUSIP and ISIN are not available). | GSQB |
iv. Number of shares or principal amount of underlying reference instrument per contract. |
Number of shares. | 1.000000000000 |
v. Exercise price or rate. | 11.500000000000 |
vi. Exercise Price Currency Code |
United States Dollar
|
vii. Expiration date. | 2026-12-31 |
viii. Delta. | XXXX |
ix. Unrealized appreciation or depreciation. (24) | -4561.890000000000 |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 188 |
a. Name of issuer (if any). | Ibere Pharmaceuticals |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Ibere Pharmaceuticals |
d. CUSIP (if any). | G46843127 |
At least one of the following other identifiers: |
- ISIN | KYG468431278 |
- Ticker (if ISIN is not available). | IBER/U |
Balance. (2) |
a. Balance | 15000.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 150300.000000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.0714435818 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
Schedule of Portfolio Investments Record: 189 |
a. Name of issuer (if any). | Jack Creek Investment Corp |
b. LEI (if any) of issuer. (1) | N/A |
c. Title of the issue or description of the investment. | Jack Creek Investment Corp |
d. CUSIP (if any). | G4989X115 |
At least one of the following other identifiers: |
- ISIN | KYG4989X1152 |
- Ticker (if ISIN is not available). | JCIC |
Balance. (2) |
a. Balance | 81378.000000000000 |
b. Units |
Number of shares
|
c. Description of other units. | |
d. Currency. (3) |
United States Dollar
|
e. Value. (4) | 794249.280000000000 |
f. Exchange rate. | |
g. Percentage value compared to net assets of the Fund. | 0.3775383459 |
a. Payoff profile. (5) | ☒ Long ☐ Short ☐ N/A |
a. Asset type. (6) |
Equity-common
|
b. Issuer type. (7) |
Corporate
|
a. ISO country code. (8) |
UNITED STATES OF AMERICA
|
b. Investment ISO country code. (9) |
a. Is the investment a Restricted Security? | ☐ Yes ☒ No |
a. Liquidity classification information. (10) |
Category. |
N/A
|
a. Level within the fair value hierarchy (12) | ☒ 1 ☐ 2 ☐ 3 ☐ N/A |
N/A |
N/A |
N/A |
a. Does any amount of this investment represent reinvestment of cash collateral received for loaned securities? | ☐ Yes ☒ No |
b. Does any portion of this investment represent that is treated as a Fund asset and received for loaned securities? | ☐ Yes ☒ No |
c. Is any portion of this investment on loan by the Fund? | ☐ Yes ☒ No |
The Fund may provide any information it believes would be helpful in understanding the information reported in response to any Item of this Form. The Fund may also explain any assumptions that it made in responding to any Item of this Form. To the extent responses relate to a particular Item, provide the Item number(s), as applicable. |
The Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. |
Registrant: | Special Opportunities Fund, Inc. | |
By (Signature): | /s/ Andrew Dakos | |
Name: | Andrew Dakos | |
Title: | President | |
Date:
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