# EDGAR Filing Document

**Accession Number:** 0001081698
**File Stem:** 0001081698-25-000010
**Filing Date:** 2025-11
**Character Count:** 24354
**Document Hash:** 3998af4e1cccf69e1128f3fde56e0ede
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001081698-25-000010.hdr.sgml**: 20251118

**ACCESSION NUMBER**: 0001081698-25-000010

**CONFORMED SUBMISSION TYPE**: 13F-HR/A

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20250930

**FILED AS OF DATE**: 20251118

**DATE AS OF CHANGE**: 20251118

**EFFECTIVENESS DATE**: 20251118

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** HEIGHTS CAPITAL MANAGEMENT, INC
- **CENTRAL INDEX KEY:** 0001081698

**ORGANIZATION NAME:**
- **EIN:** 232864707

**FILING VALUES:**
- **FORM TYPE:** 13F-HR/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-13218
- **FILM NUMBER:** 251493785

**BUSINESS ADDRESS:**
- **STREET 1:** 101 CALIFORNIA STREET
- **STREET 2:** SUITE 3250
- **CITY:** SAN FRANCISCO
- **STATE:** CA
- **ZIP:** 94111
- **BUSINESS PHONE:** 415-403-6550

**MAIL ADDRESS:**
- **STREET 1:** 101 CALIFORNIA STREET
- **STREET 2:** SUITE 3250
- **CITY:** SAN FRANCISCO
- **STATE:** CA
- **ZIP:** 94111

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** HEIGHTS CAPITAL MANAGEMENT, INC.
- **DATE OF NAME CHANGE:** 20130709

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** HEIGHTS CAPITAL MANAGEMENT INC
- **DATE OF NAME CHANGE:** 19990311

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 09-30-2025

**Check here if Amendment** [x] **Amendment Number:** 1

**This Amendment (Check only one.):** [x] is a restatement.

[ ] adds new holdings entries.

**Institutional Investment Manager Filing this Report:**

**Name:** HEIGHTS CAPITAL MANAGEMENT INC<br>**Address:** 101 CALIFORNIA STREET<br>SUITE 3250<br>SAN FRANCISCO, CA 94111

**Form 13F File Number:** 028-13218

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

**Person Signing this Report on Behalf of Reporting Manager:**

**Name:** Brian Sopinsky<br>**Title:** Assistant Secretary<br>**Phone:** 610-617-2600

**Signature, Place, and Date of Signing:**

Brian Sopinsky  BALA CYNWYD, PA  11-18-2025<br>[Signature]  [City, State]  [Date]

**Report Type (Check only one.):**

[x] **13F HOLDINGS REPORT.** (Check here if all holdings of this reporting manager are reported in this report.)

[ ] **13F NOTICE.** (Check here if no holdings are reported in this report, and all holdings are reported by other reporting manager(s).)

[ ] **13F COMBINATION REPORT.** (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)

### Form 13F Summary Page

**Report Summary:**

**Number of Other Included Managers:** 1

**Form 13F Information Table Entry Total:** 182

**Form 13F Information Table Value Total:** $351003568

      (round to nearest dollar)

**List of Other Included Managers:**

Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.

[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]

| No.   | Name                 | Form 13F File Number   |
|:---|:---|:---|
|  | CVI Investments Inc. | 028-17822              |

### FORM 13F INFORMATION TABLE

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| A PARADISE ACQUISITION CORP | UNIT 07/29/2030 | G04819127 |  | 1996000 | 200000 | SH |  | OTR | 12 | 200000 | 0 | 0 |
| A SPAC III ACQUISITION CORP | ORD SHS CL A | G0544A103 |  | 621000 | 60000 | SH |  | OTR | 12 | 60000 | 0 | 0 |
| A SPAC III ACQUISITION CORP | RIGHT 01/02/2026 | G0544A145 |  | 9346 | 49191 | SH |  | OTR | 12 | 49191 | 0 | 0 |
| ABSCI CORPORATION | COM | 00091E109 |  | 6081338 | 2000440 | SH |  | OTR | 12 | 2000440 | 0 | 0 |
| ADC THERAPEUTICS SA | SHS | H0036K147 |  | 1307064 | 326766 | SH |  | OTR | 12 | 326766 | 0 | 0 |
| AGRICULTURE  NAT SOL ACQ CO | SHS CL A | G0131Y100 |  | 155403 | 14231 | SH |  | OTR | 12 | 14231 | 0 | 0 |
| AGRIFORCE GROWING SYSTEMS LT | COM | C00948304 |  | 4225000 | 1300000 | SH |  | OTR | 12 | 1300000 | 0 | 0 |
| AINOS INC | *W EXP 07/29/202 | 00902F113 |  | 15263 | 82500 | SH |  | OTR | 12 | 82500 | 0 | 0 |
| AMPLITECH GROUP INC | *W EXP 02/26/202 | 03211Q119 |  | 18471 | 45462 | SH |  | OTR | 12 | 45462 | 0 | 0 |
| ANDRETTI ACQUISITION CORP II | ORD SHS CL A | G26745102 |  | 278502 | 26600 | SH |  | OTR | 12 | 26600 | 0 | 0 |
| ARMADA ACQUISITION CORP II | COM CL A | G0R38G104 |  | 1996827 | 191267 | SH |  | OTR | 12 | 191267 | 0 | 0 |
| ARMADA ACQUISITION CORP II | *W EXP 05/21/203 | G0R38G112 |  | 90842 | 95633 | SH |  | OTR | 12 | 95633 | 0 | 0 |
| AXIOM INTELLIGENCE AC CORP 1 | UNIT 06/10/2030 | G0750N120 |  | 504000 | 50000 | SH |  | OTR | 12 | 50000 | 0 | 0 |
| BERTO ACQUISITION CORP | ORD SHS | G1051H101 |  | 1041000 | 100000 | SH |  | OTR | 12 | 100000 | 0 | 0 |
| BERTO ACQUISITION CORP | *W EXP 05/01/203 | G1051H119 |  | 34990 | 50000 | SH |  | OTR | 12 | 50000 | 0 | 0 |
| BEST SPAC I ACQUISITION CORP | UNIT 05/27/2030 | G1069P137 |  | 1778000 | 175000 | SH |  | OTR | 12 | 175000 | 0 | 0 |
| BIOMEA FUSION INC | COM | 09077A106 |  | 2904045 | 1437646 | SH |  | OTR | 12 | 1437646 | 0 | 0 |
| BIOVIE INC | *W EXP 08/08/203 | 09074F173 |  | 41400 | 90000 | SH |  | OTR | 12 | 90000 | 0 | 0 |
| BLUE ACQUISITION CORP. | UNIT 06/02/2030 | G1331A124 |  | 507000 | 50000 | SH |  | OTR | 12 | 50000 | 0 | 0 |
| BRIACELL THERAPEUTICS CORP | *W EXP 99/99/999 | 107930117 |  | 185742 | 544698 | SH |  | OTR | 12 | 544698 | 0 | 0 |
| CABALETTA BIO INC | COM | 12674W109 |  | 4877033 | 2084202 | SH |  | OTR | 12 | 2084202 | 0 | 0 |
| CARTESIAN GROWTH CORP III | COM CL A | G19307100 |  | 1506750 | 150000 | SH |  | OTR | 12 | 150000 | 0 | 0 |
| CARTESIAN GROWTH CORP III | *W EXP 05/02/203 | G19307126 |  | 18750 | 75000 | SH |  | OTR | 12 | 75000 | 0 | 0 |
| CAYSON ACQUISITION CORP | SHS | G1993W109 |  | 1569000 | 150000 | SH |  | OTR | 12 | 150000 | 0 | 0 |
| CAYSON ACQUISITION CORP | RIGHT 99/99/9999 | G1993W117 |  | 21937 | 122555 | SH |  | OTR | 12 | 122555 | 0 | 0 |
| CHAMPIONSGATE ACQUISITION CO | SHS CL A | G2124S108 |  | 2136673 | 212182 | SH |  | OTR | 12 | 212182 | 0 | 0 |
| CHAMPIONSGATE ACQUISITION CO | RIGHT 05/14/2030 | G2124S116 |  | 29607 | 211481 | SH |  | OTR | 12 | 211481 | 0 | 0 |
| CHARLTON ARIA ACQUISITION CO | ORD SHS CL A | G9877L107 |  | 415200 | 40000 | SH |  | OTR | 12 | 40000 | 0 | 0 |
| CHARLTON ARIA ACQUISITION CO | RIGHT 12/31/2026 | G9877L115 |  | 7073 | 32149 | SH |  | OTR | 12 | 32149 | 0 | 0 |
| CHENGHE ACQUISITION III CO | UNIT 09/09/2030 | G2086N113 |  | 399200 | 40000 | SH |  | OTR | 12 | 40000 | 0 | 0 |
| CO2 ENERGY TRANSITION CORP | COM | 12664M103 |  | 408000 | 40000 | SH |  | OTR | 12 | 40000 | 0 | 0 |
| CO2 ENERGY TRANSITION CORP | *W EXP 08/17/202 | 12664M111 |  | 6764 | 40000 | SH |  | OTR | 12 | 40000 | 0 | 0 |
| CO2 ENERGY TRANSITION CORP | RIGHT 10/15/2028 | 12664M129 |  | 9599 | 39996 | SH |  | OTR | 12 | 39996 | 0 | 0 |
| COHEN CIRCLE ACQUISIT CORP I | UNIT 07/01/2030 | G2254C105 |  | 109012 | 10594 | SH |  | OTR | 12 | 10594 | 0 | 0 |
| COLLPLANT BIOTECHNOLOGIES LT | SHS NEW | M2R51X116 |  | 51804 | 19258 | SH |  | OTR | 12 | 19258 | 0 | 0 |
| COLUMBUS ACQUISITION CORP | SHS | G2295P107 |  | 2042000 | 200000 | SH |  | OTR | 12 | 200000 | 0 | 0 |
| COLUMBUS ACQUISITION CORP | RIGHT 09/30/2025 | G2295P115 |  | 30192 | 167733 | SH |  | OTR | 12 | 167733 | 0 | 0 |
| COLUMBUS CIRCLE CAP CORP. I | SHS CL A | G2296A109 |  | 2677357 | 264561 | SH |  | OTR | 12 | 264561 | 0 | 0 |
| COLUMBUS CIRCLE CAP CORP. I | *W EXP 05/16/203 | G2296A117 |  | 146831 | 132280 | SH |  | OTR | 12 | 132280 | 0 | 0 |
| COPLEY ACQUISITION CORP | ORD SHS CL A | G24243100 |  | 3033000 | 300000 | SH |  | OTR | 12 | 300000 | 0 | 0 |
| COPLEY ACQUISITION CORP | *W EXP 99/99/999 | G24243126 |  | 30135 | 150000 | SH |  | OTR | 12 | 150000 | 0 | 0 |
| CRANE HBR ACQUISITION CORP | CL A | G24979109 |  | 506500 | 50000 | SH |  | OTR | 12 | 50000 | 0 | 0 |
| CSLM DIGITA ASSET ACQ CORP I | UNIT 08/12/2030 | G2584S135 |  | 505000 | 50000 | SH |  | OTR | 12 | 50000 | 0 | 0 |
| D. BORAL ARC ACQ I CORP. | UNIT 07/23/2030 | G2616F127 |  | 250570 | 25057 | SH |  | OTR | 12 | 25057 | 0 | 0 |
| DATA STORAGE CORP | *W EXP 05/18/202 | 23786R110 |  | 4234 | 29000 | SH |  | OTR | 12 | 29000 | 0 | 0 |
| DEFI DEVELOPMENT CORP | COM | 47100L301 |  | 8976437 | 586312 | SH |  | OTR | 12 | 586312 | 0 | 0 |
| DEFI DEVELOPMENT CORP | COM | 47100L301 |  | 563408 | 36800 | SH | Put | OTR | 12 | 0 | 0 | 0 |
| DRUGS MADE IN AMER ACQ II CO | UNIT 09/16/2030 | G2851K120 |  | 5165433 | 519400 | SH |  | OTR | 12 | 519400 | 0 | 0 |
| DRUGS MADE IN AMER ACQUTN CO | ORD SHS | G2847J104 |  | 6675500 | 650000 | SH |  | OTR | 12 | 650000 | 0 | 0 |
| DRUGS MADE IN AMER ACQUTN CO | RIGHT 10/15/2029 | G2847J112 |  | 62923 | 289302 | SH |  | OTR | 12 | 289302 | 0 | 0 |
| DT CLOUD ACQUISITION CORP | ORD SHS | G28524117 |  | 941537 | 85207 | SH |  | OTR | 12 | 85207 | 0 | 0 |
| DT CLOUD ACQUISITION CORP | RIGHT 02/14/2029 | G28524133 |  | 14460 | 72300 | SH |  | OTR | 12 | 72300 | 0 | 0 |
| DT CLOUD STAR ACQUISITION CO | SHS | G2853N106 |  | 1002884 | 95695 | SH |  | OTR | 12 | 95695 | 0 | 0 |
| DT CLOUD STAR ACQUISITION CO | RIGHT 07/09/2029 | G2853N114 |  | 3259 | 16293 | SH |  | OTR | 12 | 16293 | 0 | 0 |
| DUNE ACQUISITION CORP II | SHS CL A | G2867S109 |  | 303600 | 30000 | SH |  | OTR | 12 | 30000 | 0 | 0 |
| DUNE ACQUISITION CORP II | *W EXP 04/04/203 | G2867S117 |  | 4950 | 22500 | SH |  | OTR | 12 | 22500 | 0 | 0 |
| DYNAMIX CORP | *W EXP 10/25/202 | G2949D112 |  | 126000 | 60000 | SH |  | OTR | 12 | 60000 | 0 | 0 |
| ECARX HOLDINGS INC | *W EXP 99/99/999 | G29201111 |  | 7768 | 149100 | SH |  | OTR | 12 | 149100 | 0 | 0 |
| EMMIS ACQUISITION CORP. | UNIT 09/12/2030 | G3037D121 |  | 3493000 | 350000 | SH |  | OTR | 12 | 350000 | 0 | 0 |
| EMPERY DIGITAL INC | COM NEW | 92864V608 |  | 7520000 | 1000000 | SH |  | OTR | 12 | 1000000 | 0 | 0 |
| EQV VENTURES ACQUISITION COR | CL A ORD SHS | G3106N109 |  | 971298 | 93574 | SH |  | OTR | 12 | 93574 | 0 | 0 |
| ESS TECH INC | *W EXP 10/08/202 | 26916J114 |  | 24621 | 586218 | SH |  | OTR | 12 | 586218 | 0 | 0 |
| EUREKA ACQUISITION CORP | SHS CL A | G32168109 |  | 164626 | 15400 | SH |  | OTR | 12 | 15400 | 0 | 0 |
| EUREKA ACQUISITION CORP | RIGHT 01/03/2026 | G32168125 |  | 3244 | 13516 | SH |  | OTR | 12 | 13516 | 0 | 0 |
| EVE HLDG INC | COM | 29970N104 |  | 2651970 | 696055 | SH |  | OTR | 12 | 696055 | 0 | 0 |
| FACT II ACQUISITION CORP | ORD SHS CL A | G32901103 |  | 618000 | 60000 | SH |  | OTR | 12 | 60000 | 0 | 0 |
| FACT II ACQUISITION CORP | *W EXP 11/26/203 | G32901129 |  | 8400 | 30000 | SH |  | OTR | 12 | 30000 | 0 | 0 |
| FG MERGER II CORP | COM | 30334J102 |  | 7892100 | 790000 | SH |  | OTR | 12 | 790000 | 0 | 0 |
| FG MERGER II CORP | RIGHT 02/11/2030 | 30334J128 |  | 184836 | 440191 | SH |  | OTR | 12 | 440191 | 0 | 0 |
| FIFTH ERA ACQUISITION CORP I | ORD SHS CL A | G3415K101 |  | 3559500 | 350000 | SH |  | OTR | 12 | 350000 | 0 | 0 |
| FIFTH ERA ACQUISITION CORP I | RIGHT 02/21/2030 | G3415K135 |  | 64450 | 243207 | SH |  | OTR | 12 | 243207 | 0 | 0 |
| FIGX CAP ACQUISITION CORP. | UNIT 06/17/2030 | G3473K126 |  | 1007000 | 100000 | SH |  | OTR | 12 | 100000 | 0 | 0 |
| FLAG SHIP ACQUISITION CORP | ORD SHS | G3530C109 |  | 3269538 | 308447 | SH |  | OTR | 12 | 308447 | 0 | 0 |
| FLAG SHIP ACQUISITION CORP | RIGHT 03/31/2026 | G3530C117 |  | 53413 | 281123 | SH |  | OTR | 12 | 281123 | 0 | 0 |
| FLUTTER ENTMT PLC | SHS | G3643J108 |  | 74721720 | 294180 | SH |  | OTR | 12 | 294180 | 0 | 0 |
| FUTURE VISION II ACQUISITION | SHS | G37068106 |  | 3399500 | 325000 | SH |  | OTR | 12 | 325000 | 0 | 0 |
| FUTURE VISION II ACQUISITION | RIGHT 06/29/2029 | G37068114 |  | 55296 | 307370 | SH |  | OTR | 12 | 307370 | 0 | 0 |
| GALATA ACQUISITION CORP II | UNIT 09/12/2030 | G3R25N124 |  | 149700 | 15000 | SH |  | OTR | 12 | 15000 | 0 | 0 |
| GLOBA TERRA ACQUISITION COR | UNIT 99/99/9999 | G3933N108 |  | 1276250 | 125000 | SH |  | OTR | 12 | 125000 | 0 | 0 |
| GOLD ROYALTY CORP | *W EXP 05/31/202 | 38071H122 |  | 446421 | 249397 | SH |  | OTR | 12 | 249397 | 0 | 0 |
| GP-ACT III ACQUISITION CORP | CL A | G4035N103 |  | 4464455 | 421175 | SH |  | OTR | 12 | 421175 | 0 | 0 |
| GP-ACT III ACQUISITION CORP | *W EXP 05/13/202 | G4035N129 |  | 24798 | 95375 | SH |  | OTR | 12 | 95375 | 0 | 0 |
| GSR III ACQUISITION CORP | CL A | G4R103107 |  | 630924 | 60900 | SH |  | OTR | 12 | 60900 | 0 | 0 |
| GSR IV ACQUISITION CORP | UNIT 08/22/2030 | G4R12K123 |  | 1266875 | 125000 | SH |  | OTR | 12 | 125000 | 0 | 0 |
| HAYMAKER ACQUISITION CORP IV | CLASS A | G4375F108 |  | 1720493 | 151719 | SH |  | OTR | 12 | 151719 | 0 | 0 |
| HCM III ACQUISITION CORP | UNIT 07/23/2030 | G4365E129 |  | 379975 | 36855 | SH |  | OTR | 12 | 36855 | 0 | 0 |
| HENNESSY CAP INVT CORP VII | ORD SHS CL A | G4405D107 |  | 615000 | 60000 | SH |  | OTR | 12 | 60000 | 0 | 0 |
| HIGHVIEW MERGER CORP | UNIT 07/24/2030 | G4569C127 |  | 506000 | 50000 | SH |  | OTR | 12 | 50000 | 0 | 0 |
| HORIZON SPACE ACQUISITION II | ORD SHS | G4627B103 |  | 207200 | 20000 | SH |  | OTR | 12 | 20000 | 0 | 0 |
| HYCROFT MINING HOLDING CORP | *W EXP 10/06/202 | 44862P133 |  | 121 | 15174 | SH |  | OTR | 12 | 15174 | 0 | 0 |
| IB ACQUISITION CORP | COM SHS | 44934N108 |  | 2185919 | 207787 | SH |  | OTR | 12 | 207787 | 0 | 0 |
| IB ACQUISITION CORP | RIGHT 03/28/2026 | 44934N116 |  | 14399 | 179984 | SH |  | OTR | 12 | 179984 | 0 | 0 |
| IMMUNEERING CORP | CLASS A COM | 45254E107 |  | 140000 | 20000 | SH |  | OTR | 12 | 20000 | 0 | 0 |
| IMMUNITYBIO INC | COM | 45256X103 |  | 16151644 | 6565709 | SH |  | OTR | 12 | 6565709 | 0 | 0 |
| INDIGO ACQUISITION CORP | UNIT 07/01/2030 | G4791J122 |  | 1011000 | 100000 | SH |  | OTR | 12 | 100000 | 0 | 0 |
| INFLECTION PT ACQUISITION CO | CL A ORD SHS | G47875102 |  | 503500 | 50000 | SH |  | OTR | 12 | 50000 | 0 | 0 |
| IVEDA SOLUTIONS INC | *W EXP 04/01/202 | 46583A113 |  | 6480 | 54000 | SH |  | OTR | 12 | 54000 | 0 | 0 |
| JACKSON ACQUISITION CO II | COM SHS CL A | G4992A110 |  | 7266000 | 700000 | SH |  | OTR | 12 | 700000 | 0 | 0 |
| JACKSON ACQUISITION CO II | RIGHT 99/99/9999 | G4992A136 |  | 189000 | 700000 | SH |  | OTR | 12 | 700000 | 0 | 0 |
| KOCHAV DEFENSE ACQUI CO | SHS CL A | G5304D106 |  | 5015000 | 500000 | SH |  | OTR | 12 | 500000 | 0 | 0 |
| KOCHAV DEFENSE ACQUI CO | RIGHT 05/21/2030 | G5304D114 |  | 104213 | 473695 | SH |  | OTR | 12 | 473695 | 0 | 0 |
| LAKESHORE ACQUISITION III CO | USD ORD SHS | G5353S103 |  | 2017000 | 200000 | SH |  | OTR | 12 | 200000 | 0 | 0 |
| LAKESHORE ACQUISITION III CO | RIGHT 08/01/2026 | G5353S137 |  | 40800 | 200000 | SH |  | OTR | 12 | 200000 | 0 | 0 |
| LATAM AIRLINES GROUP SA | SPONSORED ADR | 51817R205 |  | 2262500 | 50000 | SH |  | OTR | 12 | 50000 | 0 | 0 |
| LEMONADE INC | *W EXP 02/09/202 | 52567D115 |  | 6039 | 88946 | SH |  | OTR | 12 | 88946 | 0 | 0 |
| LEXARIA BIOSCIENCE CORP | *W EXP 01/14/202 | 52886N117 |  | 3300 | 41251 | SH |  | OTR | 12 | 41251 | 0 | 0 |
| LIGHTWAVE ACQUISITION CORP | UNIT 06/06/2030 | G5490M118 |  | 502000 | 50000 | SH |  | OTR | 12 | 50000 | 0 | 0 |
| LIONHEART HOLDINGS | SHS CL A | G5501C109 |  | 714176 | 67952 | SH |  | OTR | 12 | 67952 | 0 | 0 |
| M3BRIGADE ACQUISITION V CORP | CL A | G63212107 |  | 5275000 | 500000 | SH |  | OTR | 12 | 500000 | 0 | 0 |
| MAYWOOD ACQUISITION CORP | ORD SHS CL A | G6001J107 |  | 1024000 | 100000 | SH |  | OTR | 12 | 100000 | 0 | 0 |
| MAYWOOD ACQUISITION CORP | RIGHT 99/99/9999 | G6001J131 |  | 27704 | 46173 | SH |  | OTR | 12 | 46173 | 0 | 0 |
| MCKINLEY ACQUISITION CORP | UNIT 07/25/2030 | G6005T127 |  | 999000 | 100000 | SH |  | OTR | 12 | 100000 | 0 | 0 |
| MELAR ACQUISITION CORP. I | SHS CL A | G6004G100 |  | 676487 | 64366 | SH |  | OTR | 12 | 64366 | 0 | 0 |
| MICROBOT MED INC | COM NEW | 59503A204 |  | 2693467 | 883104 | SH |  | OTR | 12 | 883104 | 0 | 0 |
| NANO LABS LTD | SHS NEW | G6391Y128 |  | 599578 | 111033 | SH |  | OTR | 12 | 111033 | 0 | 0 |
| NANO NUCLEAR ENERGY INC | COM | 63010H108 |  | 14107832 | 365867 | SH |  | OTR | 12 | 365867 | 0 | 0 |
| NANO NUCLEAR ENERGY INC | COM | 63010H108 |  | 35845376 | 929600 | SH | Put | OTR | 12 | 0 | 0 | 0 |
| NEW PROVIDENCE ACQUISITION C | USD CL A ORD SHS | G6476A102 |  | 508500 | 50000 | SH |  | OTR | 12 | 50000 | 0 | 0 |
| NEWBURY STR II ACQUISITION C | ORD SHS CL A | G6439S109 |  | 375887 | 36300 | SH |  | OTR | 12 | 36300 | 0 | 0 |
| NEWBURY STR II ACQUISITION C | *W EXP 06/01/203 | G6439S117 |  | 5729 | 22500 | SH |  | OTR | 12 | 22500 | 0 | 0 |
| NMP ACQUISITION CORP | UNIT 06/27/2030 | G6375X120 |  | 4549500 | 450000 | SH |  | OTR | 12 | 450000 | 0 | 0 |
| OAK WOODS ACQUISITION CORP | *W EXP 99/99/999 | 67190B112 |  | 1392 | 39772 | SH |  | OTR | 12 | 39772 | 0 | 0 |
| OAK WOODS ACQUISITION CORP | RIGHT 03/23/2028 | 67190B120 |  | 21250 | 85000 | SH |  | OTR | 12 | 85000 | 0 | 0 |
| OATLY GROUP AB | SPONSORED ADS | 67421J207 |  | 1478072 | 91239 | SH |  | OTR | 12 | 91239 | 0 | 0 |
| OATLY GROUP AB | NOTE   9.250% 9/1 | 67421JAC2 |  | 10731964 | 12052970 | PRN |  | OTR | 12 | 0 | 0 | 0 |
| ORIGIN INVT CORP I | UNIT 06/27/2030 | G67751118 |  | 2527500 | 250000 | SH |  | OTR | 12 | 250000 | 0 | 0 |
| OXLEY BRIDGE ACQ LTD | UNIT 06/17/2030 | G6858G123 |  | 2512500 | 250000 | SH |  | OTR | 12 | 250000 | 0 | 0 |
| OYSTER ENTERPRISES II ACQUIS | ORD SHS CL A | G6861F104 |  | 501100 | 50000 | SH |  | OTR | 12 | 50000 | 0 | 0 |
| OYSTER ENTERPRISES II ACQUIS | RIGHT 05/22/2030 | G6861F138 |  | 4672 | 27483 | SH |  | OTR | 12 | 27483 | 0 | 0 |
| PANTAGES CAPITAL ACQUISITION | ORD SHS CL A | G8089R100 |  | 668200 | 65000 | SH |  | OTR | 12 | 65000 | 0 | 0 |
| PANTAGES CAPITAL ACQUISITION | RIGHT 11/15/2029 | G8089R118 |  | 11680 | 58400 | SH |  | OTR | 12 | 58400 | 0 | 0 |
| PELICAN ACQUISITION CORP | SHS | G6993G103 |  | 503000 | 50000 | SH |  | OTR | 12 | 50000 | 0 | 0 |
| PEPGEN INC | COM | 713317105 |  | 46200 | 10000 | SH |  | OTR | 12 | 10000 | 0 | 0 |
| PERIMETER ACQUISITION CORP I | *W EXP 05/13/203 | G7010A111 |  | 17677 | 29462 | SH |  | OTR | 12 | 29462 | 0 | 0 |
| PERIMETER ACQUISITION CORP I | COM CL A | G7010A129 |  | 603981 | 58925 | SH |  | OTR | 12 | 58925 | 0 | 0 |
| PIONEER ACQUISITION I CORP | UNIT 06/16/2030 | G7117W123 |  | 1005000 | 100000 | SH |  | OTR | 12 | 100000 | 0 | 0 |
| PLUM ACQUISITION CORP IV | SHS CL A | G7134A104 |  | 2580000 | 250000 | SH |  | OTR | 12 | 250000 | 0 | 0 |
| PLUM ACQUISITION CORP IV | *W EXP 08/19/202 | G7134A120 |  | 33750 | 125000 | SH |  | OTR | 12 | 125000 | 0 | 0 |
| QUANTUMSPHERE ACQUISITION CO | UNIT 07/30/2030 | G7387B122 |  | 1519500 | 150000 | SH |  | OTR | 12 | 150000 | 0 | 0 |
| RANGE CAP ACQUISITION CORP | ORD SHS | G7375C108 |  | 523500 | 50000 | SH |  | OTR | 12 | 50000 | 0 | 0 |
| RANGE CAP ACQUISITION CORP | RIGHT 99/99/9999 | G7375C116 |  | 12623 | 31683 | SH |  | OTR | 12 | 31683 | 0 | 0 |
| REPUBLIC DIGITAL ACQUISITION | USD CL A ORD SHS | G7515A103 |  | 1817380 | 178000 | SH |  | OTR | 12 | 178000 | 0 | 0 |
| REPUBLIC DIGITAL ACQUISITION | *W EXP 05/01/203 | G7515A129 |  | 57850 | 89000 | SH |  | OTR | 12 | 89000 | 0 | 0 |
| RIBBON ACQUISITION CORP | ORD SHS CL A | G7552W109 |  | 2048000 | 200000 | SH |  | OTR | 12 | 200000 | 0 | 0 |
| RIBBON ACQUISITION CORP | RIGHT 12/31/2026 | G7552W117 |  | 41517 | 188714 | SH |  | OTR | 12 | 188714 | 0 | 0 |
| RISING DRAGON ACQUISITION CO | SHS | G7576K107 |  | 398002 | 38196 | SH |  | OTR | 12 | 38196 | 0 | 0 |
| RISING DRAGON ACQUISITION CO | RIGHT 11/15/2028 | G7576K115 |  | 2782 | 16385 | SH |  | OTR | 12 | 16385 | 0 | 0 |
| ROMAN DBDR ACQUISITION CORP | *W EXP 10/31/203 | G7633M112 |  | 19305 | 37500 | SH |  | OTR | 12 | 37500 | 0 | 0 |
| ROYALTY MGMT HLDG CORP | *W EXP 05/28/202 | 02369M110 |  | 16209 | 320978 | SH |  | OTR | 12 | 320978 | 0 | 0 |
| SAVERONE 2014 LTD | *W EXP 06/02/202 | 80516T113 |  | 700 | 40000 | SH |  | OTR | 12 | 40000 | 0 | 0 |
| SILVER PEGASUS ACQUISITION C | UNIT 06/26/2030 | G8192J128 |  | 2038000 | 200000 | SH |  | OTR | 12 | 200000 | 0 | 0 |
| SIZZLE ACQUISITION CORP. II | USD CL A ORD SHS | G8193F109 |  | 2024000 | 200000 | SH |  | OTR | 12 | 200000 | 0 | 0 |
| SIZZLE ACQUISITION CORP. II | RIGHT 04/02/2030 | G8193F133 |  | 33660 | 198000 | SH |  | OTR | 12 | 198000 | 0 | 0 |
| SOLARIUS CAPITAL ACQU CORP | UNIT 07/10/2030 | G82617120 |  | 504500 | 50000 | SH |  | OTR | 12 | 50000 | 0 | 0 |
| SOULPOWER ACQUISITION CORP | USD CL A ORD SHS | G82745103 |  | 2018260 | 200000 | SH |  | OTR | 12 | 200000 | 0 | 0 |
| SOULPOWER ACQUISITION CORP | RIGHT 99/99/9999 | G82745137 |  | 38000 | 200000 | SH |  | OTR | 12 | 200000 | 0 | 0 |
| SPRING VY ACQUISITION CORP I | UNIT 09/04/2030 | G8377R127 |  | 1018680 | 97950 | SH |  | OTR | 12 | 97950 | 0 | 0 |
| STARRY SEA ACQUISITION CORP | UNIT 07/07/2030 | G8559L104 |  | 1014000 | 100000 | SH |  | OTR | 12 | 100000 | 0 | 0 |
| STONEBRIDGE ACQUISITION II C | UNIT 09/09/2030 | G85096124 |  | 498500 | 50000 | SH |  | OTR | 12 | 50000 | 0 | 0 |
| TALON CAP CORP | UNIT 08/27/2030 | G86652115 |  | 249747 | 24900 | SH |  | OTR | 12 | 24900 | 0 | 0 |
| TAVIA ACQUISITION CORP | SHS | G86880104 |  | 672100 | 65000 | SH |  | OTR | 12 | 65000 | 0 | 0 |
| TAVIA ACQUISITION CORP | RIGHT 11/26/2029 | G86880146 |  | 3035 | 13802 | SH |  | OTR | 12 | 13802 | 0 | 0 |
| TENON MEDICAL INC | *W EXP 06/16/202 | 88066N113 |  | 15749 | 846723 | SH |  | OTR | 12 | 846723 | 0 | 0 |
| TEXAS VENTURES ACQUISITION I | USD CL A ORD SHS | G8772L105 |  | 277389 | 25900 | SH |  | OTR | 12 | 25900 | 0 | 0 |
| TEXAS VENTURES ACQUISITION I | *W EXP 04/23/203 | G8772L113 |  | 14245 | 12950 | SH |  | OTR | 12 | 12950 | 0 | 0 |
| THAYER VENTURES ACQ CORP II | CL A | G87890102 |  | 2510000 | 250000 | SH |  | OTR | 12 | 250000 | 0 | 0 |
| THAYER VENTURES ACQ CORP II | RIGHT 05/15/2030 | G87890110 |  | 45000 | 250000 | SH |  | OTR | 12 | 250000 | 0 | 0 |
| TITAN ACQUISITION CORP | CL A | G8901A103 |  | 1214400 | 120000 | SH |  | OTR | 12 | 120000 | 0 | 0 |
| TITAN ACQUISITION CORP | *W EXP 05/16/203 | G8901A111 |  | 18072 | 60000 | SH |  | OTR | 12 | 60000 | 0 | 0 |
| TRAILBLAZER ACQUISITION CORP | UNIT 08/21/2030 | G9009S129 |  | 2046925 | 199700 | SH |  | OTR | 12 | 199700 | 0 | 0 |
| TRAILBLAZER MERGER CORP I | RIGHT 04/21/2028 | 89278D125 |  | 2929 | 11714 | SH |  | OTR | 12 | 11714 | 0 | 0 |
| UPEXI INC | COM NEW | 39959A205 |  | 1442500 | 250000 | SH |  | OTR | 12 | 250000 | 0 | 0 |
| UY SCUTI ACQUISITION CORP. | ORD SHS | G93Y0A104 |  | 1788500 | 175000 | SH |  | OTR | 12 | 175000 | 0 | 0 |
| UY SCUTI ACQUISITION CORP. | RIGHT 03/03/2030 | G93Y0A112 |  | 46276 | 171392 | SH |  | OTR | 12 | 171392 | 0 | 0 |
| VENDOME ACQUISITION CORP I | UNIT 06/20/2030 | G9580A125 |  | 302793 | 30340 | SH |  | OTR | 12 | 30340 | 0 | 0 |
| VERSUS SYSTEMS INC | *W EXP 11/22/202 | 92540Q114 |  | 5020 | 100000 | SH |  | OTR | 12 | 100000 | 0 | 0 |
| VINE HILL CAP INVT CORP. | ORD SHS CL A | G93Y09107 |  | 597511 | 55790 | SH |  | OTR | 12 | 55790 | 0 | 0 |
| VINE HILL CAP INVT CORP. | *W EXP 07/01/203 | G93Y09115 |  | 23667 | 14792 | SH |  | OTR | 12 | 14792 | 0 | 0 |
| VOYAGER ACQUISITION CORP | CL A | G93A7H104 |  | 2623875 | 250000 | SH |  | OTR | 12 | 250000 | 0 | 0 |
| WELLGISTICS HEALTH INC | COM | 949503106 |  | 2587740 | 2917078 | SH |  | OTR | 12 | 2917078 | 0 | 0 |
| WINTERGREEN ACQUISITION CORP | SHS | G9717M109 |  | 1006000 | 100000 | SH |  | OTR | 12 | 100000 | 0 | 0 |
| WINTERGREEN ACQUISITION CORP | RIGHT 99/99/9999 | G9717M117 |  | 13822 | 86387 | SH |  | OTR | 12 | 86387 | 0 | 0 |

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