Assistant Secretary

0001728194-21-000002.txt : 20210517 0001728194-21-000002.hdr.sgml : 20210517 20210517130814 ACCESSION NUMBER: 0001728194-21-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210517 DATE AS OF CHANGE: 20210517 EFFECTIVENESS DATE: 20210517 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CVI Holdings, LLC CENTRAL INDEX KEY: 0001728194 IRS NUMBER: 510395476 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18767 FILM NUMBER: 21929111 BUSINESS ADDRESS: STREET 1: ONE COMMERCE CENTER STREET 2: 1201 N. ORANGE STREET, SUITE 715 CITY: WILMINGTON STATE: DE ZIP: 19801 BUSINESS PHONE: 6106172600 MAIL ADDRESS: STREET 1: ONE COMMERCE CENTER STREET 2: 1201 N. ORANGE STREET, SUITE 715 CITY: WILMINGTON STATE: DE ZIP: 19801 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001728194 XXXXXXXX 03-31-2021 03-31-2021 CVI Holdings, LLC

ONE COMMERCE CENTER 1201 N. ORANGE STREET, SUITE 715 WILMINGTON DE 19801

13F HOLDINGS REPORT 028-18767 N Brian Sopinsky Assistant Secretary 610-617-2600 Brian Sopinsky BALA CYNWYD PA 05-17-2021 2 615 1446989 false 8 0001081698 028-13218 HEIGHTS CAPITAL MANAGEMENT, INC 12 0001649553 028-17822 CVI Investments, Inc. INFORMATION TABLE 2 file.XML DESCRIPTION FOR THE INFORMATION TABLE 26 CAPITAL ACQUISITION CORP COM CL A 90138P100 3395 350000 SH DFND 12,8 350000 0 0 26 CAPITAL ACQUISITION CORP *W EXP 12/31/202 90138P118 138 175000 SH DFND 12,8 175000 0 0 7GC & CO HOLDINGS INC COM CL A 81786A107 4950 500000 SH DFND 12,8 500000 0 0 7GC & CO HOLDINGS INC *W EXP 12/23/202 81786A115 190 250000 SH DFND 12,8 250000 0 0 890 5TH AVE PARTNERS INC COM CL A 28250A105 4361 450000 SH DFND 12,8 450000 0 0 890 5TH AVE PARTNERS INC *W EXP 01/12/202 28250A113 120 150000 SH DFND 12,8 150000 0 0 9 METERS BIOPHARMA INC COM 654405109 2497 2134460 SH DFND 12,8 2134460 0 0 ABG ACQUISITION CORP I CL A SHS G00496102 742 75000 SH DFND 12,8 75000 0 0 ACCELERATE ACQUISITION CORP UNIT 99/99/9999 00439D201 8937 900000 SH DFND 12,8 900000 0 0 ACON S2 ACQUISITION CORP CL SHS G00748106 1962 200000 SH DFND 12,8 200000 0 0 ACON S2 ACQUISITION CORP *W EXP 09/15/202 G00748114 61 66666 SH DFND 12,8 66666 0 0 ADARA ACQUISITION CORP COM CL A 00653H102 4815 500000 SH DFND 12,8 500000 0 0 ADARA ACQUISITION CORP *W EXP 02/11/202 00653H110 128 250000 SH DFND 12,8 250000 0 0 ADIT EDTECH ACQUISITION CORP COMMON STOCK 007024102 2889 300000 SH DFND 12,8 300000 0 0 ADIT EDTECH ACQUISITION CORP *W EXP 99/99/999 007024110 75 150000 SH DFND 12,8 150000 0 0 ADVANCED MERGER PARTNERS INC UNIT 99/99/9999 00777J208 1250 125000 SH DFND 12,8 125000 0 0 AERSALE CORPORATION COM 00810F106 1982 161277 SH DFND 12,8 161277 0 0 AF ACQUISITION CORP UNIT 03/31/2028 001040203 9860 1000000 SH DFND 12,8 1000000 0 0 AFRICAN GOLD ACQUISITION COR SHS CL A G0112R108 3828 400000 SH DFND 12,8 400000 0 0 AFRICAN GOLD ACQUISITION COR *W EXP 03/31/202 G0112R124 144 300000 SH DFND 12,8 300000 0 0 AGILE GROWTH CORP UNIT 03/09/2026 G01202129 9920 1000000 SH DFND 12,8 1000000 0 0 AJAX I *W EXP 10/27/202 G0190X126 27 15717 SH DFND 12,8 15717 0 0 ALKURI GLOBAL ACQUISITION CO UNIT 01/01/2028 66981N202 1976 200000 SH DFND 12,8 200000 0 0 ALPHA CAPITAL ACQUISITION CO UNIT 02/16/2026 G0316P114 498 50000 SH DFND 12,8 50000 0 0 ALPHA HEALTHCARE ACQUISTN CO *W EXP 09/21/202 020751111 206 68864 SH DFND 12,8 68864 0 0 ALTIMAR ACQUISITION CORP SHS CL A G03707109 5547 561461 SH DFND 12,8 561461 0 0 ALTIMAR ACQUISITION CORP *W EXP 99/99/999 G03707117 263 187154 SH DFND 12,8 187154 0 0 ALTIMAR ACQUISITION CORP II SHS CL A G03709105 9890 1000000 SH DFND 12,8 1000000 0 0 ALTIMAR ACQUISITION CORP II *W EXP 02/09/202 G03709121 444 250000 SH DFND 12,8 250000 0 0 ALTIMAR ACQUISITION CORP III UNIT 99/99/9999 G0370U124 5000 500000 SH DFND 12,8 500000 0 0 ALTITUDE ACQUISITION CORP COM CL A 02156Y103 2508 250000 SH DFND 12,8 250000 0 0 ALTITUDE ACQUISITION CORP *W EXP 11/30/202 02156Y111 213 125000 SH DFND 12,8 125000 0 0 AMERICAN ACQUISITION OPPT IN UNIT 05/28/2026 02369M201 9500 950000 SH DFND 12,8 950000 0 0 AMPLITECH GROUP INC *W EXP 01/01/202 03211Q119 219 50000 SH DFND 12,8 50000 0 0 ANZU SPECIAL ACQUISITIN CORP UNIT 01/27/2026 03737A200 1497 150000 SH DFND 12,8 150000 0 0 APOLLO STRATEGIC GROWTH CAPT SHS CL A G0411R106 4950 500000 SH DFND 12,8 500000 0 0 APOLLO STRATEGIC GROWTH CAPT *W EXP 10/29/202 G0411R114 210 166667 SH DFND 12,8 166667 0 0 APOLLO STRATEGIC GRWT CPTL I UNIT 99/99/9999 G0412A110 699 70000 SH DFND 12,8 70000 0 0 ARCHIMEDES TECH SPAC PARTNR UNIT 03/10/2026 039562202 3462 350000 SH DFND 12,8 350000 0 0 ARCLIGHT CLEAN TRANSITION II UNIT 03/16/2028 G0R21B120 1000 100000 SH DFND 12,8 100000 0 0 ARCTOS NORTHSTAR ACQUIS CORP UNIT 99/99/9999 G0477L118 999 100000 SH DFND 12,8 100000 0 0 ARES ACQUISITION CORPORATION COM CL A G33032106 4950 500000 SH DFND 12,8 500000 0 0 ARES ACQUISITION CORPORATION *W EXP 99/99/999 G33032122 88 100000 SH DFND 12,8 100000 0 0 ARROWROOT ACQUISITION CORP UNIT 01/29/2026 04282M201 994 100000 SH DFND 12,8 100000 0 0 ASPIRATIONAL CONSUMER LIFEST *W EXP 09/19/202 G05436111 71 50000 SH DFND 12,8 50000 0 0 ASTREA ACQUISITION CORP COM CL A 04637C106 2702 280000 SH DFND 12,8 280000 0 0 ASTREA ACQUISITION CORP *W EXP 01/28/202 04637C114 70 140000 SH DFND 12,8 140000 0 0 ATHENA TECHNOLOGY ACQUISI CO UNIT 99/99/9999 04687A208 4945 500000 SH DFND 12,8 500000 0 0 ATHLON ACQUISITION CORP COM CL A 04748A106 964 100000 SH DFND 12,8 100000 0 0 ATHLON ACQUISITION CORP *W EXP 01/12/202 04748A114 27 50000 SH DFND 12,8 50000 0 0 ATLANTIC AVE ACQUISITION COR COM CL A 04906P101 1938 200000 SH DFND 12,8 200000 0 0 ATLANTIC AVE ACQUISITION COR *W EXP 10/06/202 04906P119 74 100000 SH DFND 12,8 100000 0 0 ATLANTIC COASTAL ACQUISTN CO UNIT 03/02/2026 048453203 739 75000 SH DFND 12,8 75000 0 0 ATLAS CREST INVESTMENT CORP COM CL A 049287105 6846 700000 SH DFND 12,8 700000 0 0 ATLAS CREST INVESTMENT CORP *W EXP 02/03/202 049287113 149 175000 SH DFND 12,8 175000 0 0 ATLAS CREST INVT CORP *W EXP 01/30/202 049284110 2728 1515600 SH DFND 12,8 1515600 0 0 ATOSSA THERAPEUTICS INC COM 04962H506 912 432305 SH DFND 12,8 432305 0 0 AURORA ACQUISITION CORP UNIT 03/02/2026 G0698L111 6210 600000 SH DFND 12,8 600000 0 0 AUSTERLITZ ACQUISITION CORP UNIT 99/99/9999 G0633D117 2761 275000 SH DFND 12,8 275000 0 0 AUSTERLITZ ACQUISITION CORP UNIT 99/99/9999 G0633U119 5015 500000 SH DFND 12,8 500000 0 0 AVANTI ACQUISITION CORP SHS CL A G0682V109 977 100000 SH DFND 12,8 100000 0 0 AVANTI ACQUISITION CORP *W EXP 99/99/999 G0682V125 53 50000 SH DFND 12,8 50000 0 0 B RILEY PRINCIPAL 150 MERGER UNIT 99/99/9999 05601V202 1250 125000 SH DFND 12,8 125000 0 0 BCLS ACQUISITION CORP COM CL A G0904B105 793 75000 SH DFND 12,8 75000 0 0 BEAM THERAPEUTICS INC COM 07373V105 21516 268820 SH DFND 12,8 268820 0 0 BENESSERE CAPITAL ACQUSTN CO COM CL A 08179B103 6958 700000 SH DFND 12,8 700000 0 0 BENESSERE CAPITAL ACQUSTN CO *W EXP 99/99/999 08179B111 247 525000 SH DFND 12,8 525000 0 0 BENESSERE CAPITAL ACQUSTN CO RIGHT 99/99/9999 08179B129 229 700000 SH DFND 12,8 700000 0 0 BESPOKE CAP ACQUISITION CORP CL A REST VTG 086344108 4990 500000 SH DFND 12,8 500000 0 0 BIG CYPRESS ACQUISITION CORP UNIT 07/25/2027 089115208 3535 350000 SH DFND 12,8 350000 0 0 BIOPHYTIS SA ADS 09076G104 2547 200360 SH DFND 12,8 200360 0 0 BIOTECH ACQUISITION COMPANY CL A SHS G1125A108 1940 200000 SH DFND 12,8 200000 0 0 BIOTECH ACQUISITION COMPANY *W EXP 11/30/202 G1125A116 61 100000 SH DFND 12,8 100000 0 0 BLUE WTR ACQUISITION CORP COM CL A 09607T104 4024 400000 SH DFND 12,8 400000 0 0 BLUE WTR ACQUISITION CORP *W EXP 08/31/202 09607T112 218 400000 SH DFND 12,8 400000 0 0 BLUERIVER ACQUISITION CORP SHS CL A G1261Q107 2916 300000 SH DFND 12,8 300000 0 0 BLUERIVER ACQUISITION CORP *W EXP 01/04/202 G1261Q115 63 100000 SH DFND 12,8 100000 0 0 BLUESCAPE OPPORTUNITIES ACQU SHS G1195N105 839 84333 SH DFND 12,8 84333 0 0 BLUESCAPE OPPORTUNITIES ACQU *W EXP 10/28/202 G1195N113 64 42167 SH DFND 12,8 42167 0 0 BREEZE HOLDINGS ACQUISITN CO COM 106762107 2985 300000 SH DFND 12,8 300000 0 0 BREEZE HOLDINGS ACQUISITN CO *W EXP 05/25/202 106762115 192 300000 SH DFND 12,8 300000 0 0 BREEZE HOLDINGS ACQUISITN CO RIGHT 05/23/2022 106762123 78 300000 SH DFND 12,8 300000 0 0 BRIDGETOWN 2 HOLDINGS LTD CL A G1355V103 358 35000 SH DFND 12,8 35000 0 0 BRIGHT LIGHTS ACQUISITION CO COM CL A 10920K101 1152 120000 SH DFND 12,8 120000 0 0 BRIGHT LIGHTS ACQUISITION CO *W EXP 01/01/202 10920K119 36 60000 SH DFND 12,8 60000 0 0 BROADSCALE ACQUISITION CORP UNIT 02/02/2026 11134Y200 297 30000 SH DFND 12,8 30000 0 0 BROOKLINE CAP ACQUISITION CO UNIT 08/31/2027 11374E203 1065 100000 SH DFND 12,8 100000 0 0 BUILD ACQUISITION CORP UNIT 99/99/9999 12008J204 5922 600000 SH DFND 12,8 600000 0 0 BYTE ACQUISITION CORP UNIT 03/18/2029 G1R25Q121 6000 600000 SH DFND 12,8 600000 0 0 CA HEALTHCARE ACQUISITION CO COM CL A 12510W107 975 100000 SH DFND 12,8 100000 0 0 CA HEALTHCARE ACQUISITION CO *W EXP 12/25/202 12510W115 25 50000 SH DFND 12,8 50000 0 0 CANOO INC *W EXP 12/21/202 13803R110 243 85794 SH DFND 12,8 85794 0 0 CAPITOL INVESTMENT CORP V *W EXP 99/99/999 14064F118 23 16667 SH DFND 12,8 16667 0 0 CARNEY TECHNOLOGY ACQU CORP CL A COMMON STK 143636108 1938 200000 SH DFND 12,8 200000 0 0 CARNEY TECHNOLOGY ACQU CORP *W EXP 11/30/202 143636116 55 66666 SH DFND 12,8 66666 0 0 CARTESIAN GROWTH CORP UNIT 02/26/2028 G19276123 2985 300000 SH DFND 12,8 300000 0 0 CASCADE ACQUISITION CORP COM CL A 147151104 1473 150000 SH DFND 12,8 150000 0 0 CASCADE ACQUISITION CORP *W EXP 11/30/202 147151112 68 75000 SH DFND 12,8 75000 0 0 CASI PHARMACEUTICALS INC COM 14757U109 720 300000 SH DFND 12,8 300000 0 0 CATCHA INVESTMENT CORP UNIT 99/99/9999 G1962Y128 4975 500000 SH DFND 12,8 500000 0 0 CBRE ACQUISITION HLDGS INC COM CL A 12510J106 731 75000 SH DFND 12,8 75000 0 0 CBRE ACQUISITION HLDGS INC *W EXP 99/99/999 12510J114 17 18750 SH DFND 12,8 18750 0 0 CC NEUBERGER PRINCIPAL HOLDN SHS CL A G1992N100 970 100000 SH DFND 12,8 100000 0 0 CC NEUBERGER PRINCIPAL HOLDN *W EXP 99/99/999 G1992N126 23 20000 SH DFND 12,8 20000 0 0 CELSION CORP COM PAR NEW 15117N503 466 337826 SH DFND 12,8 337826 0 0 CENTRICUS ACQUISITION CORP CL A SHS G2072Q104 960 100000 SH DFND 12,8 100000 0 0 CENTRICUS ACQUISITION CORP *W EXP 02/04/202 G2072Q120 11 25000 SH DFND 12,8 25000 0 0 CERBERUS TELECOM ACQUISITION SHS CL A G2040C104 2361 238458 SH DFND 12,8 238458 0 0 CERBERUS TELECOM ACQUISITION *W EXP 99/99/999 G2040C120 87 83333 SH DFND 12,8 83333 0 0 CF ACQUISITION CORP IV COM CL A 12520T102 12213 1250000 SH DFND 12,8 1250000 0 0 CF ACQUISITION CORP IV *W EXP 12/31/202 12520T110 375 416666 SH DFND 12,8 416666 0 0 CF ACQUISITION CORP V UNIT 01/25/2026 12520R205 2994 300000 SH DFND 12,8 300000 0 0 CF ACQUISITION CORP VI UNIT 99/99/9999 12521J202 2970 300000 SH DFND 12,8 300000 0 0 CF ACQUISITION CORP VIII UNIT 03/31/2028 12520C208 3968 400000 SH DFND 12,8 400000 0 0 CF FIN ACQUISITION CORP III *W EXP 09/30/202 12529D116 42 30000 SH DFND 12,8 30000 0 0 CHECK CAP LTD *W EXP 05/03/202 M2361E161 33 122964 SH DFND 12,8 122964 0 0 CHEMOMAB THERAPEUTICS LTD SPONSORED ADS 16385C104 2692 93750 SH DFND 12,8 93750 0 0 CHURCHILL CAPITAL CORP V COM CL A 17144T107 494 50000 SH DFND 12,8 50000 0 0 CHURCHILL CAPITAL CORP V *W EXP 10/29/202 17144T115 16 12500 SH DFND 12,8 12500 0 0 CHURCHILL CAPITAL CORP VI UNIT 99/99/9999 17143W200 1006 100000 SH DFND 12,8 100000 0 0 CHURCHILL CAPITAL CORP VII UNIT 99/99/9999 17144M201 2493 250000 SH DFND 12,8 250000 0 0 CLARIM ACQUISITION CORP COM CL A 18049C108 966 100000 SH DFND 12,8 100000 0 0 CLARIM ACQUISITION CORP *W EXP 01/05/202 18049C116 18 33333 SH DFND 12,8 33333 0 0 CLASS ACCELERATION CORP COM 18274B106 3864 400000 SH DFND 12,8 400000 0 0 CLASS ACCELERATION CORP *W EXP 03/31/202 18274B114 124 200000 SH DFND 12,8 200000 0 0 CLIMATE REAL IMPACT SLUTINS COM CL A 187171103 973 100000 SH DFND 12,8 100000 0 0 CLIMATE REAL IMPACT SLUTINS *W EXP 01/29/202 187171111 22 20000 SH DFND 12,8 20000 0 0 COLICITY INC UNIT 02/24/2026 194170205 2020 200000 SH DFND 12,8 200000 0 0 COLLECTIVE GROWTH CORP COM CL A 19424L101 996 100000 SH DFND 12,8 100000 0 0 COLONNADE ACQUISITION CORP I UNIT 99/99/9999 G2284B127 3940 400000 SH DFND 12,8 400000 0 0 COMPUTE HEALTH ACQUISITIN CO COM CL A 204833107 7395 750000 SH DFND 12,8 750000 0 0 COMPUTE HEALTH ACQUISITIN CO *W EXP 01/25/202 204833115 234 187500 SH DFND 12,8 187500 0 0 COMSOVEREIGN HLDG CORP *W EXP 12/18/202 205650112 53 42300 SH DFND 12,8 42300 0 0 CONCORD ACQUISITION CORP COM CL A 206071102 1467 150000 SH DFND 12,8 150000 0 0 CONCORD ACQUISITION CORP *W EXP 12/28/202 206071110 68 75000 SH DFND 12,8 75000 0 0 CONSONANCE HFW ACQUISITION C SHS CL A G2445M103 1443 150000 SH DFND 12,8 150000 0 0 CONSONANCE HFW ACQUISITION C *W EXP 10/28/202 G2445M111 41 50000 SH DFND 12,8 50000 0 0 CONSTELLATION ACQUISITN CORP SHS CL A G2R18K105 676 70000 SH DFND 12,8 70000 0 0 CONSTELLATION ACQUISITN CORP *W EXP 01/29/202 G2R18K113 15 23333 SH DFND 12,8 23333 0 0 CONX CORP COM CL A 212873103 731 73300 SH DFND 12,8 73300 0 0 CONX CORP *W EXP 10/30/202 212873111 22 18325 SH DFND 12,8 18325 0 0 CORAZON CAPITAL V838 MONOCER UNIT 03/24/2026 G24237110 5970 600000 SH DFND 12,8 600000 0 0 CORNER GROWTH ACQUISITION CO CL A SHS G2425N105 9790 1000000 SH DFND 12,8 1000000 0 0 CORNER GROWTH ACQUISITION CO *W EXP 99/99/999 G2425N113 330 333333 SH DFND 12,8 333333 0 0 COVA ACQUISITION CORP UNIT 04/01/2021 G2554Y112 2985 300000 SH DFND 12,8 300000 0 0 CREATIVE REALITIES INC *W EXP 11/09/202 22530J119 4 14600 SH DFND 12,8 14600 0 0 CROWN PROPTECH ACQUISITIONS UNIT 99/99/9999 G25741128 994 100000 SH DFND 12,8 100000 0 0 CYCLACEL PHARMACEUTICALS INC COM 23254L603 423 59450 SH DFND 12,8 59450 0 0 D AND Z MEDIA ACQUISITION CO COM CL A 23305Q106 2901 300000 SH DFND 12,8 300000 0 0 D AND Z MEDIA ACQUISITION CO *W EXP 01/27/202 23305Q114 60 100000 SH DFND 12,8 100000 0 0 DECARBONIZATION PLUS ACQU CO COM CL A 242797108 265 25253 SH DFND 12,8 25253 0 0 DECARBONIZATION PLUS ACQU CO *W EXP 10/02/202 242797116 68 36399 SH DFND 12,8 36399 0 0 DECARBONIZATION PLUS ACQU II COM CL A 242794105 1206 125000 SH DFND 12,8 125000 0 0 DECARBONIZATION PLUS ACQU II *W EXP 01/19/202 242794113 104 41666 SH DFND 12,8 41666 0 0 DECARBONIZATION PLUS ACQU II UNIT 03/19/2026 24279D204 1170 117515 SH DFND 12,8 117515 0 0 DEEP LAKE CAPITAL ACQUSTN CO CL A SHS G27029100 4900 500000 SH DFND 12,8 500000 0 0 DEEP LAKE CAPITAL ACQUSTN CO *W EXP 01/04/202 G27029118 173 250000 SH DFND 12,8 250000 0 0 DEERFIELD HEALTHCARE TECH AC *W EXP 07/16/202 244413118 44 15040 SH DFND 12,8 15040 0 0 DELWINDS INS ACQUISITION COR UNIT 99/99/9999 24803C201 524 52500 SH DFND 12,8 52500 0 0 DHB CAPITAL CORP UNIT 03/31/2028 23291W208 990 100000 SH DFND 12,8 100000 0 0 DHC ACQUISITION CORP UNIT 02/25/2026 G2758T125 3497 350000 SH DFND 12,8 350000 0 0 DIAMONDHEAD HOLDINGS CORP UNIT 01/21/2026 25278L204 3964 400000 SH DFND 12,8 400000 0 0 DIGI INTL INC COM 253798102 869 45769 SH DFND 12,8 45769 0 0 DIGITAL TRANSFORMATN OPT COR UNIT 03/31/2028 25401K206 5928 600000 SH DFND 12,8 600000 0 0 DISRUPTIVE ACQUISITION CORP UNIT 03/06/2026 G2770Y110 4940 500000 SH DFND 12,8 500000 0 0 DMY TECHNOLOGY GROUP INC III *W EXP 99/99/999 233278118 47 20306 SH DFND 12,8 20306 0 0 DMY TECHNOLOGY GROUP INC IV UNIT 99/99/9999 23344K201 2510 250000 SH DFND 12,8 250000 0 0 DPCM CAP INC COM CL A 23344P101 3944 400000 SH DFND 12,8 400000 0 0 DPCM CAP INC *W EXP 10/14/202 23344P119 167 133333 SH DFND 12,8 133333 0 0 DRAGONEER GROWTH OPT CORP II CL A SHS G28315102 506 50000 SH DFND 12,8 50000 0 0 DUNE ACQUISITION CORP COM CL A 265334102 2440 250000 SH DFND 12,8 250000 0 0 DUNE ACQUISITION CORP *W EXP 10/29/202 265334110 78 125000 SH DFND 12,8 125000 0 0 E2OPEN PARENT HOLDINGS INC COM CL A 29788T103 14895 1495450 SH DFND 12,8 1495450 0 0 EAST RES ACQUISITION CO COM CL A 274681105 4795 490300 SH DFND 12,8 490300 0 0 EAST RES ACQUISITION CO *W EXP 07/01/202 274681113 199 245150 SH DFND 12,8 245150 0 0 EBANG INTL HLDGS INC CL A SHS G3R33A106 584 73500 SH Put DFND 12,8 0 0 0 ECP ENVIRONMENTAL GW OPT COR UNIT 03/01/2026 26829T209 1505 150000 SH DFND 12,8 150000 0 0 EDIFY ACQUISITION CORP CL A 28059Q103 4365 450000 SH DFND 12,8 450000 0 0 EDIFY ACQUISITION CORP *W EXP 11/25/202 28059Q111 112 225000 SH DFND 12,8 225000 0 0 EDTECHX HOLDINGS ACQU CORP I COM CL A 28139A102 737 75000 SH DFND 12,8 75000 0 0 EDTECHX HOLDINGS ACQU CORP I *W EXP 06/15/202 28139A110 17 37500 SH DFND 12,8 37500 0 0 EJF ACQUISITION CORP UNIT 03/10/2026 G2955B117 1493 150000 SH DFND 12,8 150000 0 0 EMPOWER LTD CL A COM G3R39W102 1996 200000 SH DFND 12,8 200000 0 0 EMPOWER LTD *W EXP 11/30/202 G3R39W110 79 66666 SH DFND 12,8 66666 0 0 EMPOWERMENT & INCLUSION CAPI COM CL A 29248N100 967 100000 SH DFND 12,8 100000 0 0 EMPOWERMENT & INCLUSION CAPI *W EXP 01/12/202 29248N118 25 50000 SH DFND 12,8 50000 0 0 ENERGY FUELS INC *W EXP 09/20/202 292671179 0 277777 SH DFND 12,8 277777 0 0 ENVIRONMENTAL IMPACT ACQU CO COM CL A 29408N106 4845 500000 SH DFND 12,8 500000 0 0 ENVIRONMENTAL IMPACT ACQU CO *W EXP 09/30/202 29408N114 218 250000 SH DFND 12,8 250000 0 0 EPIPHANY TECHNOLOGY ACQUISIT COM CL A 29429X109 4895 500000 SH DFND 12,8 500000 0 0 EPIPHANY TECHNOLOGY ACQUISIT *W EXP 01/12/202 29429X117 138 166666 SH DFND 12,8 166666 0 0 EQ HEALTH ACQUISITION CORP COM CL A 26886A101 1452 150000 SH DFND 12,8 150000 0 0 EQ HEALTH ACQUISITION CORP *W EXP 02/02/202 26886A119 38 75000 SH DFND 12,8 75000 0 0 EQUITY DISTR ACQUISITION COR COM CL A 29465E106 2973 300000 SH DFND 12,8 300000 0 0 EQUITY DISTR ACQUISITION COR *W EXP 09/09/202 29465E114 108 100000 SH DFND 12,8 100000 0 0 ESM ACQUISITION CORPORATION UNIT 99/99/9999 G3195H120 4970 500000 SH DFND 12,8 500000 0 0 EUCRATES BIOMEDICAL ACQU COR SHS G3141W106 3511 355000 SH DFND 12,8 355000 0 0 EUCRATES BIOMEDICAL ACQU COR *W EXP 10/23/202 G3141W122 108 118333 SH DFND 12,8 118333 0 0 EUROPEAN SUSTAINABLE GROWTH CL A SHS G3194F109 972 100000 SH DFND 12,8 100000 0 0 EUROPEAN SUSTAINABLE GROWTH *W EXP 01/21/202 G3194F117 35 50000 SH DFND 12,8 50000 0 0 EVO ACQUISITION CORP UNIT 99/99/9999 30052G207 497 50000 SH DFND 12,8 50000 0 0 EXAGEN INC COM 30068X103 1277 72952 SH DFND 12,8 72952 0 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