# EDGAR Filing Document

**Accession Number:** 0001081698
**File Stem:** 0001081698-26-000001
**Filing Date:** 2026-2
**Character Count:** 25712
**Document Hash:** 11bc493cb5a83e55ca46868b4e13a041
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001081698-26-000001.hdr.sgml**: 20260217

**ACCESSION NUMBER**: 0001081698-26-000001

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

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20251231

**FILED AS OF DATE**: 20260217

**DATE AS OF CHANGE**: 20260217

**EFFECTIVENESS DATE**: 20260217

**FILER**: 

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

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

**FILING VALUES:**
- **FORM TYPE:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-13218
- **FILM NUMBER:** 26637899

**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:** 12-31-2025

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

**This Amendment (Check only one.):** [ ] 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  02-17-2026<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:** 192

**Form 13F Information Table Value Total:** $278839900

      (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 | COM CL A | G04819101 |  | 2005980 | 199600 | SH |  | OTR | 12 | 199600 | 0 | 0 |
| A PARADISE ACQUISITION CORP | RIGHT 07/29/2025 | G04819119 |  | 49875 | 199500 | SH |  | OTR | 12 | 199500 | 0 | 0 |
| A SPAC III ACQUISITION CORP | RIGHT 01/02/2026 | G0544A145 |  | 1942 | 10219 | SH |  | OTR | 12 | 10219 | 0 | 0 |
| AA MISSION ACQUISITION CORP | UNIT 07/23/2032 | G1000S117 |  | 2017000 | 200000 | SH |  | OTR | 12 | 200000 | 0 | 0 |
| ABSCI CORPORATION | COM | 00091E109 |  | 3719084 | 1065640 | SH |  | OTR | 12 | 1065640 | 0 | 0 |
| AI INFRASTRUCTURE ACQUISI | UNIT 99/99/9999 | G01336125 |  | 3054000 | 300000 | SH |  | OTR | 12 | 300000 | 0 | 0 |
| AINOS INC | *W EXP 07/29/202 | 00902F113 |  | 6868 | 55837 | SH |  | OTR | 12 | 55837 | 0 | 0 |
| ALLURION TECHNOLOGIES INC | COMMON STOCK | 02008G201 |  | 73652 | 59880 | SH |  | OTR | 12 | 59880 | 0 | 0 |
| AMERICAN DRIVE ACQUISITION C | UNIT 12/04/2030 | G0R91M121 |  | 499500 | 50000 | SH |  | OTR | 12 | 50000 | 0 | 0 |
| ANDRETTI ACQUISITION CORP II | ORD SHS CL A | G26745102 |  | 280364 | 26600 | SH |  | OTR | 12 | 26600 | 0 | 0 |
| APEX TREAS CORP | UNIT 10/07/2030 | G04104116 |  | 251250 | 25000 | SH |  | OTR | 12 | 25000 | 0 | 0 |
| ARMADA ACQUISITION CORP II | COM CL A | G0R38G104 |  | 1958574 | 191267 | SH |  | OTR | 12 | 191267 | 0 | 0 |
| ARMADA ACQUISITION CORP II | *W EXP 05/21/203 | G0R38G112 |  | 78419 | 95633 | SH |  | OTR | 12 | 95633 | 0 | 0 |
| AVAX ONE TECHNOLOGY LTD | COM SHS | 05353F108 |  | 1963000 | 1300000 | SH |  | OTR | 12 | 1300000 | 0 | 0 |
| AXIOM INTELLIGENCE AC CORP 1 | ORD SHS CL A | G0750N104 |  | 503500 | 50000 | SH |  | OTR | 12 | 50000 | 0 | 0 |
| AXIOM INTELLIGENCE AC CORP 1 | RIGHT 06/10/2030 | G0750N112 |  | 10500 | 50000 | SH |  | OTR | 12 | 50000 | 0 | 0 |
| BERTO ACQUISITION CORP | ORD SHS | G1051H101 |  | 1014000 | 100000 | SH |  | OTR | 12 | 100000 | 0 | 0 |
| BERTO ACQUISITION CORP | *W EXP 05/01/203 | G1051H119 |  | 18500 | 50000 | SH |  | OTR | 12 | 50000 | 0 | 0 |
| BEST SPAC I ACQUISITION CORP | USD CL A ORD SHS | G1069P103 |  | 1772750 | 175000 | SH |  | OTR | 12 | 175000 | 0 | 0 |
| BEST SPAC I ACQUISITION CORP | RIGHT 05/27/2030 | G1069P129 |  | 26425 | 175000 | SH |  | OTR | 12 | 175000 | 0 | 0 |
| BIOVIE INC | *W EXP 08/08/203 | 09074F173 |  | 23139 | 90000 | SH |  | OTR | 12 | 90000 | 0 | 0 |
| BLUE ACQUISITION CORP. | ORD SHS CL A | G1331A108 |  | 341576 | 33455 | SH |  | OTR | 12 | 33455 | 0 | 0 |
| BLUE ACQUISITION CORP. | RIGHT 06/11/2030 | G1331A116 |  | 8897 | 29655 | SH |  | OTR | 12 | 29655 | 0 | 0 |
| BLUEPORT ACQUISITION LTD | UNIT 10/22/2030 | G1196A128 |  | 1009000 | 100000 | SH |  | OTR | 12 | 100000 | 0 | 0 |
| BLUEROCK ACQUISITION CORP | UNIT 11/06/2030 | G1352R121 |  | 1000000 | 100000 | SH |  | OTR | 12 | 100000 | 0 | 0 |
| BRIACELL THERAPEUTICS CORP | *W EXP 99/99/999 | 107930117 |  | 163409 | 544698 | SH |  | OTR | 12 | 544698 | 0 | 0 |
| CALISA ACQUISITION CORP | UNIT 09/11/2030 | G1771C119 |  | 783750 | 75000 | SH |  | OTR | 12 | 75000 | 0 | 0 |
| CARTESIAN GROWTH CORP III | COM CL A | G19307100 |  | 1543500 | 150000 | SH |  | OTR | 12 | 150000 | 0 | 0 |
| CARTESIAN GROWTH CORP III | *W EXP 05/02/203 | G19307126 |  | 60015 | 75000 | SH |  | OTR | 12 | 75000 | 0 | 0 |
| CAYSON ACQUISITION CORP | SHS | G1993W109 |  | 1599000 | 150000 | SH |  | OTR | 12 | 150000 | 0 | 0 |
| CAYSON ACQUISITION CORP | RIGHT 99/99/9999 | G1993W117 |  | 27381 | 120092 | SH |  | OTR | 12 | 120092 | 0 | 0 |
| CHAMPIONSGATE ACQUISITION CO | SHS CL A | G2124S108 |  | 2157891 | 212182 | SH |  | OTR | 12 | 212182 | 0 | 0 |
| CHAMPIONSGATE ACQUISITION CO | RIGHT 05/14/2030 | G2124S116 |  | 38445 | 207810 | SH |  | OTR | 12 | 207810 | 0 | 0 |
| CHARLTON ARIA ACQUISITION CO | ORD SHS CL A | G9877L107 |  | 419200 | 40000 | SH |  | OTR | 12 | 40000 | 0 | 0 |
| CHARLTON ARIA ACQUISITION CO | RIGHT 12/31/2026 | G9877L115 |  | 3352 | 17643 | SH |  | OTR | 12 | 17643 | 0 | 0 |
| CHENGHE ACQUISITION III CO | UNIT 09/09/2030 | G2086N113 |  | 401200 | 40000 | SH |  | OTR | 12 | 40000 | 0 | 0 |
| CHURCHILL CAP CORP XI | UNIT 12/10/2030 | G2131A124 |  | 5094790 | 499000 | SH |  | OTR | 12 | 499000 | 0 | 0 |
| CITIUS PHARMACEUTICALS INC | COM | 17322U306 |  | 621549 | 799934 | SH |  | OTR | 12 | 799934 | 0 | 0 |
| CO2 ENERGY TRANSITION CORP | COM | 12664M103 |  | 411600 | 40000 | SH |  | OTR | 12 | 40000 | 0 | 0 |
| CO2 ENERGY TRANSITION CORP | *W EXP 08/17/202 | 12664M111 |  | 6760 | 40000 | SH |  | OTR | 12 | 40000 | 0 | 0 |
| CO2 ENERGY TRANSITION CORP | RIGHT 10/15/2028 | 12664M129 |  | 7599 | 39996 | SH |  | OTR | 12 | 39996 | 0 | 0 |
| COLUMBUS ACQUISITION CORP | SHS | G2295P107 |  | 2070000 | 200000 | SH |  | OTR | 12 | 200000 | 0 | 0 |
| COPLEY ACQUISITION CORP | ORD SHS CL A | G24243100 |  | 3081000 | 300000 | SH |  | OTR | 12 | 300000 | 0 | 0 |
| COPLEY ACQUISITION CORP | *W EXP 99/99/999 | G24243126 |  | 38640 | 150000 | SH |  | OTR | 12 | 150000 | 0 | 0 |
| CRANE HBR ACQUISITION CORP I | UNIT 12/09/2030 | G25014120 |  | 754875 | 75000 | SH |  | OTR | 12 | 75000 | 0 | 0 |
| CRESCENT BIOPHARMA INC. | COM | G2545C104 |  | 3131040 | 264000 | SH |  | OTR | 12 | 264000 | 0 | 0 |
| CROWN RESV ACQUISITION CORP | ORD SHS CL A | G2574F119 |  | 1988000 | 200000 | SH |  | OTR | 12 | 200000 | 0 | 0 |
| CSLM DIGITA ASSET ACQ CORP I | UNIT 08/12/2030 | G2584S135 |  | 504988 | 49900 | SH |  | OTR | 12 | 49900 | 0 | 0 |
| D. BORAL ARC ACQ I CORP. | SHS CL A | G2616F101 |  | 248313 | 24757 | SH |  | OTR | 12 | 24757 | 0 | 0 |
| D. BORAL ARC ACQ I CORP. | *W EXP 07/23/203 | G2616F119 |  | 4497 | 12378 | SH |  | OTR | 12 | 12378 | 0 | 0 |
| DATA STORAGE CORP | *W EXP 05/18/202 | 23786R110 |  | 5736 | 29000 | SH |  | OTR | 12 | 29000 | 0 | 0 |
| DRUGS MADE IN AMER ACQ II CO | UNIT 09/16/2030 | G2851K120 |  | 5194000 | 519400 | SH |  | OTR | 12 | 519400 | 0 | 0 |
| DRUGS MADE IN AMER ACQUTN CO | ORD SHS | G2847J104 |  | 6740500 | 650000 | SH |  | OTR | 12 | 650000 | 0 | 0 |
| DRUGS MADE IN AMER ACQUTN CO | RIGHT 10/15/2029 | G2847J112 |  | 36966 | 234109 | SH |  | OTR | 12 | 234109 | 0 | 0 |
| DUNE ACQUISITION CORP II | SHS CL A | G2867S109 |  | 305700 | 30000 | SH |  | OTR | 12 | 30000 | 0 | 0 |
| DUNE ACQUISITION CORP II | *W EXP 04/04/203 | G2867S117 |  | 5771 | 22500 | SH |  | OTR | 12 | 22500 | 0 | 0 |
| DYNAMIX CORP | *W EXP 10/25/202 | G2949D112 |  | 96000 | 60000 | SH |  | OTR | 12 | 60000 | 0 | 0 |
| DYNAMIX CORP III | UNIT 10/09/2030 | G2949T125 |  | 2010000 | 200000 | SH |  | OTR | 12 | 200000 | 0 | 0 |
| ECARX HOLDINGS INC | *W EXP 99/99/999 | G29201111 |  | 1492 | 27181 | SH |  | OTR | 12 | 27181 | 0 | 0 |
| EMMIS ACQUISITION CORP. | SHS CL A | G3037D105 |  | 3482500 | 350000 | SH |  | OTR | 12 | 350000 | 0 | 0 |
| EMMIS ACQUISITION CORP. | RIGHT 09/12/2030 | G3037D113 |  | 53025 | 350000 | SH |  | OTR | 12 | 350000 | 0 | 0 |
| EMPERY DIGITAL INC | COM NEW | 92864V608 |  | 4565000 | 1000000 | SH |  | OTR | 12 | 1000000 | 0 | 0 |
| EQV VENTURES ACQUISITION COR | CL A ORD SHS | G3106N109 |  | 981591 | 93574 | SH |  | OTR | 12 | 93574 | 0 | 0 |
| ESS TECH INC | *W EXP 10/08/202 | 26916J114 |  | 29956 | 586218 | SH |  | OTR | 12 | 586218 | 0 | 0 |
| EUREKA ACQUISITION CORP | SHS CL A | G32168109 |  | 169246 | 15400 | SH |  | OTR | 12 | 15400 | 0 | 0 |
| EVOLUTION GLOBAL ACQUISITION | UNIT 10/22/2030 | G3226F127 |  | 1507500 | 150000 | SH |  | OTR | 12 | 150000 | 0 | 0 |
| FACT II ACQUISITION CORP | ORD SHS CL A | G32901103 |  | 625200 | 60000 | SH |  | OTR | 12 | 60000 | 0 | 0 |
| FACT II ACQUISITION CORP | *W EXP 11/26/203 | G32901129 |  | 10500 | 30000 | SH |  | OTR | 12 | 30000 | 0 | 0 |
| FG MERGER II CORP | COM | 30334J102 |  | 7931600 | 790000 | SH |  | OTR | 12 | 790000 | 0 | 0 |
| FIFTH ERA ACQUISITION CORP I | ORD SHS CL A | G3415K101 |  | 3587500 | 350000 | SH |  | OTR | 12 | 350000 | 0 | 0 |
| FIFTH ERA ACQUISITION CORP I | RIGHT 02/21/2030 | G3415K135 |  | 65177 | 162984 | SH |  | OTR | 12 | 162984 | 0 | 0 |
| FIGX CAP ACQUISITION CORP. | USD CL A ORD SHS | G3473K100 |  | 1006000 | 100000 | SH |  | OTR | 12 | 100000 | 0 | 0 |
| FIGX CAP ACQUISITION CORP. | *W EXP 06/17/203 | G3473K118 |  | 13735 | 50000 | SH |  | OTR | 12 | 50000 | 0 | 0 |
| FLAG SHIP ACQUISITION CORP | ORD SHS | G3530C109 |  | 3298682 | 306569 | SH |  | OTR | 12 | 306569 | 0 | 0 |
| FLAG SHIP ACQUISITION CORP | RIGHT 03/31/2026 | G3530C117 |  | 50385 | 279915 | SH |  | OTR | 12 | 279915 | 0 | 0 |
| FLUTTER ENTMT PLC | SHS | G3643J108 |  | 63260467 | 294180 | SH |  | OTR | 12 | 294180 | 0 | 0 |
| FUTURE VISION II ACQUISITION | SHS | G37068106 |  | 3438500 | 325000 | SH |  | OTR | 12 | 325000 | 0 | 0 |
| FUTURE VISION II ACQUISITION | RIGHT 06/29/2029 | G37068114 |  | 37012 | 284050 | SH |  | OTR | 12 | 284050 | 0 | 0 |
| GALATA ACQUISITION CORP II | UNIT 09/12/2030 | G3R25N124 |  | 150825 | 15000 | SH |  | OTR | 12 | 15000 | 0 | 0 |
| GIGCAPITAL8 CORP | UNIT 09/30/2030 | G3864J126 |  | 1442333 | 141683 | SH |  | OTR | 12 | 141683 | 0 | 0 |
| GLOBA TERRA ACQUISITION COR | CL A ORD SHS | G3933N116 |  | 1254713 | 124229 | SH |  | OTR | 12 | 124229 | 0 | 0 |
| GLOBA TERRA ACQUISITION COR | *W EXP 06/17/203 | G3933N124 |  | 11712 | 93171 | SH |  | OTR | 12 | 93171 | 0 | 0 |
| GLOBA TERRA ACQUISITION COR | RIGHT 06/17/2030 | G3933N132 |  | 16149 | 124129 | SH |  | OTR | 12 | 124129 | 0 | 0 |
| GOLD ROYALTY CORP | *W EXP 05/31/202 | 38071H122 |  | 493806 | 249397 | SH |  | OTR | 12 | 249397 | 0 | 0 |
| GP-ACT III ACQUISITION CORP | CL A | G4035N103 |  | 4452227 | 416096 | SH |  | OTR | 12 | 416096 | 0 | 0 |
| GSR IV ACQUISITION CORP | UNIT 08/22/2030 | G4R12K123 |  | 1062126 | 103119 | SH |  | OTR | 12 | 103119 | 0 | 0 |
| HALL CHADWICK ACQUISITION CO | UNIT 11/20/2030 | G42386121 |  | 1503750 | 150000 | SH |  | OTR | 12 | 150000 | 0 | 0 |
| HARVARD AVE ACQUISITION CORP | UNIT 10/03/2030 | G4330A129 |  | 100100 | 10000 | SH |  | OTR | 12 | 10000 | 0 | 0 |
| HAYMAKER ACQUISITION CORP IV | CLASS A | G4375F108 |  | 1385765 | 121772 | SH |  | OTR | 12 | 121772 | 0 | 0 |
| HENNESSY CAP INVT CORP VII | ORD SHS CL A | G4405D107 |  | 621000 | 60000 | SH |  | OTR | 12 | 60000 | 0 | 0 |
| HIGHVIEW MERGER CORP | UNIT 07/24/2030 | G4569C127 |  | 506500 | 50000 | SH |  | OTR | 12 | 50000 | 0 | 0 |
| HORIZON SPACE ACQUISITION II | ORD SHS | G4627B103 |  | 210800 | 20000 | SH |  | OTR | 12 | 20000 | 0 | 0 |
| IB ACQUISITION CORP | RIGHT 03/28/2026 | 44934N116 |  | 11120 | 161165 | SH |  | OTR | 12 | 161165 | 0 | 0 |
| INDIGO ACQUISITION CORP | ORD SHS | G4791J106 |  | 1008000 | 100000 | SH |  | OTR | 12 | 100000 | 0 | 0 |
| INDIGO ACQUISITION CORP | RIGHT 04/02/2027 | G4791J114 |  | 15900 | 100000 | SH |  | OTR | 12 | 100000 | 0 | 0 |
| INFLECTION POINT ACQU CORP V | ORD SHS CL A | G6001J107 |  | 1026000 | 100000 | SH |  | OTR | 12 | 100000 | 0 | 0 |
| INFLECTION PT ACQUISITION CO | CL A ORD SHS | G47875102 |  | 507000 | 50000 | SH |  | OTR | 12 | 50000 | 0 | 0 |
| INSIGHT DIGITAL PARTNERS II | UNIT 10/28/2030 | G4814G121 |  | 503500 | 50000 | SH |  | OTR | 12 | 50000 | 0 | 0 |
| INVEST GREEN ACQUISITION COR | UNIT 11/04/2030 | G4924G128 |  | 1504500 | 150000 | SH |  | OTR | 12 | 150000 | 0 | 0 |
| IRON HORSE ACQUISIT CORP II | UNIT 07/11/2030 | 46283H202 |  | 4671800 | 470000 | SH |  | OTR | 12 | 470000 | 0 | 0 |
| ITHAX ACQUISITION CORP III | UNIT 11/17/2030 | G4977S128 |  | 1095600 | 110000 | SH |  | OTR | 12 | 110000 | 0 | 0 |
| IVEDA SOLUTIONS INC | *W EXP 04/01/202 | 46583A113 |  | 4294 | 35193 | SH |  | OTR | 12 | 35193 | 0 | 0 |
| JACKSON ACQUISITION CO II | COM SHS CL A | G4992A110 |  | 7294000 | 700000 | SH |  | OTR | 12 | 700000 | 0 | 0 |
| JACKSON ACQUISITION CO II | RIGHT 99/99/9999 | G4992A136 |  | 175000 | 700000 | SH |  | OTR | 12 | 700000 | 0 | 0 |
| KOCHAV DEFENSE ACQUI CO | SHS CL A | G5304D106 |  | 5070000 | 500000 | SH |  | OTR | 12 | 500000 | 0 | 0 |
| KOCHAV DEFENSE ACQUI CO | RIGHT 05/21/2030 | G5304D114 |  | 86618 | 360909 | SH |  | OTR | 12 | 360909 | 0 | 0 |
| KYVERNA THERAPEUTICS INC | COM | 501976104 |  | 2555127 | 271822 | SH |  | OTR | 12 | 271822 | 0 | 0 |
| LAFAYETTE ACQUISITION CORP | UNIT 10/24/2030 | G53426121 |  | 1002000 | 100000 | SH |  | OTR | 12 | 100000 | 0 | 0 |
| LAKE SUPERIOR ACQUISITION CO | USD CL A ORD SHS | G5354C107 |  | 2087400 | 210000 | SH |  | OTR | 12 | 210000 | 0 | 0 |
| LAKESHORE ACQUISITION III CO | USD ORD SHS | G5353S103 |  | 2042000 | 200000 | SH |  | OTR | 12 | 200000 | 0 | 0 |
| LAKESHORE ACQUISITION III CO | RIGHT 08/01/2026 | G5353S137 |  | 44270 | 176304 | SH |  | OTR | 12 | 176304 | 0 | 0 |
| LAUNCHPAD CADENZA ACQUISITIO | UNIT 12/15/2030 | G6001S123 |  | 199600 | 20000 | SH |  | OTR | 12 | 20000 | 0 | 0 |
| LEAPFROG ACQUISITION CORP | UNIT 11/10/2030 | G5414D129 |  | 750375 | 75000 | SH |  | OTR | 12 | 75000 | 0 | 0 |
| LEMONADE INC | *W EXP 02/09/202 | 52567D115 |  | 2330 | 88946 | SH |  | OTR | 12 | 88946 | 0 | 0 |
| LIGHTWAVE ACQUISITION CORP | USD CL A ORD SHS | G5490M100 |  | 502500 | 50000 | SH |  | OTR | 12 | 50000 | 0 | 0 |
| LIGHTWAVE ACQUISITION CORP | *W EXP 06/06/203 | G5490M126 |  | 4763 | 25000 | SH |  | OTR | 12 | 25000 | 0 | 0 |
| LIONHEART HOLDINGS | SHS CL A | G5501C109 |  | 542523 | 50798 | SH |  | OTR | 12 | 50798 | 0 | 0 |
| MCKINLEY ACQUISITION CORP | UNIT 07/25/2030 | G6005T127 |  | 1010000 | 100000 | SH |  | OTR | 12 | 100000 | 0 | 0 |
| MELAR ACQUISITION CORP. I | SHS CL A | G6004G100 |  | 554471 | 52161 | SH |  | OTR | 12 | 52161 | 0 | 0 |
| MESHFLOW ACQUISITION CORP | UNIT 11/19/2030 | G6032N127 |  | 2500000 | 250000 | SH |  | OTR | 12 | 250000 | 0 | 0 |
| NANO NUCLEAR ENERGY INC | COM | 63010H108 |  | 14610085 | 608500 | SH | Put | OTR | 12 | 0 | 0 | 0 |
| NEW PROVIDENCE ACQUISITION C | USD CL A ORD SHS | G6476A102 |  | 513000 | 50000 | SH |  | OTR | 12 | 50000 | 0 | 0 |
| NEWBURY STR II ACQUISITION C | ORD SHS CL A | G6439S109 |  | 319135 | 30510 | SH |  | OTR | 12 | 30510 | 0 | 0 |
| NEWBURY STR II ACQUISITION C | *W EXP 06/01/203 | G6439S117 |  | 5648 | 22500 | SH |  | OTR | 12 | 22500 | 0 | 0 |
| NMP ACQUISITION CORP | CL A | G6375X104 |  | 4509000 | 450000 | SH |  | OTR | 12 | 450000 | 0 | 0 |
| NMP ACQUISITION CORP | RIGHT 06/27/2030 | G6375X112 |  | 90425 | 449875 | SH |  | OTR | 12 | 449875 | 0 | 0 |
| NOVA MINERALS LTD | SPONSORED ADS | 66982D104 |  | 1562306 | 255906 | SH |  | OTR | 12 | 255906 | 0 | 0 |
| NYXOAH S A | SHS | B6S7WD106 |  | 3575065 | 777188 | SH |  | OTR | 12 | 777188 | 0 | 0 |
| OAK WOODS ACQUISITION CORP | *W EXP 99/99/999 | 67190B112 |  | 780 | 37490 | SH |  | OTR | 12 | 37490 | 0 | 0 |
| OAK WOODS ACQUISITION CORP | RIGHT 03/23/2028 | 67190B120 |  | 21058 | 84300 | SH |  | OTR | 12 | 84300 | 0 | 0 |
| ORIGIN INVT CORP I | ORD SHS | G67751100 |  | 2533986 | 249900 | SH |  | OTR | 12 | 249900 | 0 | 0 |
| ORIGIN INVT CORP I | *W EXP 06/27/203 | G67751126 |  | 23990 | 124950 | SH |  | OTR | 12 | 124950 | 0 | 0 |
| OXLEY BRIDGE ACQ LTD | USD CL A ORD SHS | G6858G107 |  | 2515000 | 250000 | SH |  | OTR | 12 | 250000 | 0 | 0 |
| OXLEY BRIDGE ACQ LTD | *W EXP 06/17/203 | G6858G115 |  | 27513 | 125000 | SH |  | OTR | 12 | 125000 | 0 | 0 |
| OYSTER ENTERPRISES II ACQUIS | ORD SHS CL A | G6861F104 |  | 505500 | 50000 | SH |  | OTR | 12 | 50000 | 0 | 0 |
| PANTAGES CAPITAL ACQUISITION | ORD SHS CL A | G8089R100 |  | 673400 | 65000 | SH |  | OTR | 12 | 65000 | 0 | 0 |
| PELICAN ACQUISITION CORP | SHS | G6993G103 |  | 508500 | 50000 | SH |  | OTR | 12 | 50000 | 0 | 0 |
| PERIMETER ACQUISITION CORP I | *W EXP 05/13/203 | G7010A111 |  | 20850 | 29462 | SH |  | OTR | 12 | 29462 | 0 | 0 |
| PERIMETER ACQUISITION CORP I | COM CL A | G7010A129 |  | 605749 | 58925 | SH |  | OTR | 12 | 58925 | 0 | 0 |
| PIONEER ACQUISITION I CORP | CL A ORD SHS | G7117W107 |  | 1006000 | 100000 | SH |  | OTR | 12 | 100000 | 0 | 0 |
| PIONEER ACQUISITION I CORP | *W EXP 06/16/203 | G7117W115 |  | 13000 | 50000 | SH |  | OTR | 12 | 50000 | 0 | 0 |
| PLUM ACQUISITION CORP IV | SHS CL A | G7134A104 |  | 2607500 | 250000 | SH |  | OTR | 12 | 250000 | 0 | 0 |
| PLUM ACQUISITION CORP IV | *W EXP 08/19/202 | G7134A120 |  | 33813 | 125000 | SH |  | OTR | 12 | 125000 | 0 | 0 |
| PROCAP FINL INC | *W EXP 12/05/203 | 74277P113 |  | 92596 | 132280 | SH |  | OTR | 12 | 132280 | 0 | 0 |
| QUANTUMSPHERE ACQUISITION CO | ORD SHS | G7387B106 |  | 1501500 | 150000 | SH |  | OTR | 12 | 150000 | 0 | 0 |
| QUANTUMSPHERE ACQUISITION CO | RIGHT 08/06/2030 | G7387B114 |  | 31494 | 149900 | SH |  | OTR | 12 | 149900 | 0 | 0 |
| RANGE CAP ACQUISITION CORP | ORD SHS | G7375C108 |  | 527500 | 50000 | SH |  | OTR | 12 | 50000 | 0 | 0 |
| RANGE CAP ACQUISITION CORP | RIGHT 99/99/9999 | G7375C116 |  | 6023 | 13385 | SH |  | OTR | 12 | 13385 | 0 | 0 |
| REPUBLIC DIGITAL ACQUISITION | USD CL A ORD SHS | G7515A103 |  | 1802250 | 178000 | SH |  | OTR | 12 | 178000 | 0 | 0 |
| REPUBLIC DIGITAL ACQUISITION | *W EXP 05/01/203 | G7515A129 |  | 53400 | 89000 | SH |  | OTR | 12 | 89000 | 0 | 0 |
| RIBBON ACQUISITION CORP | ORD SHS CL A | G7552W109 |  | 2078000 | 200000 | SH |  | OTR | 12 | 200000 | 0 | 0 |
| RIBBON ACQUISITION CORP | RIGHT 12/31/2026 | G7552W117 |  | 40977 | 186258 | SH |  | OTR | 12 | 186258 | 0 | 0 |
| ROMAN DBDR ACQUISITION CORP | *W EXP 10/31/203 | G7633M112 |  | 21750 | 37500 | SH |  | OTR | 12 | 37500 | 0 | 0 |
| ROYALTY MGMT HLDG CORP | *W EXP 05/28/202 | 02369M110 |  | 9956 | 73747 | SH |  | OTR | 12 | 73747 | 0 | 0 |
| SC II ACQUISITION CORP | UNIT 11/06/2030 | G7866D128 |  | 1511250 | 150000 | SH |  | OTR | 12 | 150000 | 0 | 0 |
| SILVER PEGASUS ACQUISITION C | SHS CL A | G8192J102 |  | 2008919 | 199100 | SH |  | OTR | 12 | 199100 | 0 | 0 |
| SILVER PEGASUS ACQUISITION C | RIGHT 06/26/2030 | G8192J136 |  | 47784 | 199100 | SH |  | OTR | 12 | 199100 | 0 | 0 |
| SIZZLE ACQUISITION CORP. II | USD CL A ORD SHS | G8193F109 |  | 2032000 | 200000 | SH |  | OTR | 12 | 200000 | 0 | 0 |
| SIZZLE ACQUISITION CORP. II | RIGHT 04/02/2030 | G8193F133 |  | 4624 | 28903 | SH |  | OTR | 12 | 28903 | 0 | 0 |
| SOLARIUS CAPITAL ACQU CORP | SHS CL A | G82617104 |  | 502500 | 50000 | SH |  | OTR | 12 | 50000 | 0 | 0 |
| SOLARIUS CAPITAL ACQU CORP | *W EXP 07/10/203 | G82617112 |  | 7003 | 25000 | SH |  | OTR | 12 | 25000 | 0 | 0 |
| SOLUNA HOLDINGS INC | COM NEW | 583543301 |  | 2391438 | 2043964 | SH |  | OTR | 12 | 2043964 | 0 | 0 |
| SOULPOWER ACQUISITION CORP | USD CL A ORD SHS | G82745103 |  | 2030000 | 200000 | SH |  | OTR | 12 | 200000 | 0 | 0 |
| SOULPOWER ACQUISITION CORP | RIGHT 99/99/9999 | G82745137 |  | 35000 | 200000 | SH |  | OTR | 12 | 200000 | 0 | 0 |
| SPRING VY ACQUISITION CORP I | UNIT 09/04/2030 | G8377R127 |  | 893349 | 86481 | SH |  | OTR | 12 | 86481 | 0 | 0 |
| STARRY SEA ACQUISITION CORP | SHS | G8559L112 |  | 1003000 | 100000 | SH |  | OTR | 12 | 100000 | 0 | 0 |
| STARRY SEA ACQUISITION CORP | RIGHT 07/07/2030 | G8559L120 |  | 28600 | 100000 | SH |  | OTR | 12 | 100000 | 0 | 0 |
| STONEBRIDGE ACQUISITION II C | UNIT 09/09/2030 | G85096124 |  | 509040 | 50500 | SH |  | OTR | 12 | 50500 | 0 | 0 |
| TAILWIND 2.0 ACQUISITION COR | ORD SHS CL A | G8662J111 |  | 986000 | 100000 | SH |  | OTR | 12 | 100000 | 0 | 0 |
| TALON CAP CORP | UNIT 08/27/2030 | G86652115 |  | 247307 | 24104 | SH |  | OTR | 12 | 24104 | 0 | 0 |
| TAVIA ACQUISITION CORP | SHS | G86880104 |  | 678600 | 65000 | SH |  | OTR | 12 | 65000 | 0 | 0 |
| TENON MEDICAL INC | *W EXP 06/16/202 | 88066N113 |  | 1487 | 140236 | SH |  | OTR | 12 | 140236 | 0 | 0 |
| TEXAS VENTURES ACQUISITION I | USD CL A ORD SHS | G8772L105 |  | 275835 | 25900 | SH |  | OTR | 12 | 25900 | 0 | 0 |
| TEXAS VENTURES ACQUISITION I | *W EXP 04/23/203 | G8772L113 |  | 11655 | 12950 | SH |  | OTR | 12 | 12950 | 0 | 0 |
| TGE VALUE CREATIVE SOLUTIONS | UNIT 99/99/9999 | G8773E126 |  | 397600 | 40000 | SH |  | OTR | 12 | 40000 | 0 | 0 |
| THAYER VENTURES ACQ CORP II | CL A | G87890102 |  | 2530000 | 250000 | SH |  | OTR | 12 | 250000 | 0 | 0 |
| THAYER VENTURES ACQ CORP II | RIGHT 05/15/2030 | G87890110 |  | 52500 | 250000 | SH |  | OTR | 12 | 250000 | 0 | 0 |
| TITAN ACQUISITION CORP | CL A | G8901A103 |  | 1231200 | 120000 | SH |  | OTR | 12 | 120000 | 0 | 0 |
| TITAN ACQUISITION CORP | *W EXP 05/16/203 | G8901A111 |  | 20994 | 60000 | SH |  | OTR | 12 | 60000 | 0 | 0 |
| TRAILBLAZER ACQUISITION CORP | UNIT 08/21/2030 | G9009S129 |  | 1158672 | 113373 | SH |  | OTR | 12 | 113373 | 0 | 0 |
| TWELVE SEAS INVT CO III | UNIT 11/21/2030 | G9145D127 |  | 3482500 | 350000 | SH |  | OTR | 12 | 350000 | 0 | 0 |
| UY SCUTI ACQUISITION CORP. | ORD SHS | G93Y0A104 |  | 1795500 | 175000 | SH |  | OTR | 12 | 175000 | 0 | 0 |
| UY SCUTI ACQUISITION CORP. | RIGHT 03/03/2030 | G93Y0A112 |  | 45970 | 170892 | SH |  | OTR | 12 | 170892 | 0 | 0 |
| VENDOME ACQUISITION CORP I | COM CL A | G9580A109 |  | 305524 | 30340 | SH |  | OTR | 12 | 30340 | 0 | 0 |
| VENDOME ACQUISITION CORP I | *W EXP 02/18/202 | G9580A117 |  | 3794 | 15170 | SH |  | OTR | 12 | 15170 | 0 | 0 |
| VERSUS SYSTEMS INC | *W EXP 01/20/202 | 92540Q114 |  | 889 | 39356 | SH |  | OTR | 12 | 39356 | 0 | 0 |
| VIKING ACQUISITION CORP I | UNIT 99/99/9999 | G9582G120 |  | 503500 | 50000 | SH |  | OTR | 12 | 50000 | 0 | 0 |
| VINE HILL CAP INVT CORP. | ORD SHS CL A | G93Y09107 |  | 600858 | 55790 | SH |  | OTR | 12 | 55790 | 0 | 0 |
| VINE HILL CAP INVT CORP. | *W EXP 07/01/203 | G93Y09115 |  | 26478 | 14792 | SH |  | OTR | 12 | 14792 | 0 | 0 |
| VOYAGER ACQUISITION CORP | CL A | G93A7H104 |  | 2667500 | 250000 | SH |  | OTR | 12 | 250000 | 0 | 0 |
| WINTERGREEN ACQUISITION CORP | SHS | G9717M109 |  | 1019000 | 100000 | SH |  | OTR | 12 | 100000 | 0 | 0 |
| WINTERGREEN ACQUISITION CORP | RIGHT 99/99/9999 | G9717M117 |  | 4454 | 27836 | SH |  | OTR | 12 | 27836 | 0 | 0 |

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