# EDGAR Filing Document

**Accession Number:** 0001696778
**File Stem:** 0001696778-23-000001
**Filing Date:** 2023-2
**Character Count:** 22151
**Document Hash:** 6c89eb47ab807336afc40af7d762d24a
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001696778-23-000001.hdr.sgml**: 20230214

**ACCESSION NUMBER**: 0001696778-23-000001

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

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230214

**DATE AS OF CHANGE**: 20230214

**EFFECTIVENESS DATE**: 20230214

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Worth Venture Partners, LLC
- **CENTRAL INDEX KEY:** 0001696778
- **IRS NUMBER:** 461377713
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-17947
- **FILM NUMBER:** 23629878

**BUSINESS ADDRESS:**
- **STREET 1:** 2 EXECUTIVE DRIVE, SUITE 515
- **CITY:** FORT LEE
- **STATE:** NJ
- **ZIP:** 07024
- **BUSINESS PHONE:** 2125589017

**MAIL ADDRESS:**
- **STREET 1:** 2 EXECUTIVE DRIVE, SUITE 515
- **CITY:** FORT LEE
- **STATE:** NJ
- **ZIP:** 07024

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 12-31-2022

**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:** Worth Venture Partners LLC<br>**Address:** 2 EXECUTIVE DRIVE SUITE 515<br>FORT LEE, NJ 07024

**Form 13F File Number:** 028-17947

**CRD Number (if applicable):** 000168610

**SEC File Number (if applicable):** 801-106972

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:** Laurence Wiseman<br>**Title:** Chief Compliance Officer<br>**Phone:** 2125589017

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

Laurence Wiseman  Fort Lee, NJ  02-14-2023<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:** 3

**Form 13F Information Table Entry Total:** 183

**Form 13F Information Table Value Total:** $169418547

      (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   |
|:---|:---|:---|
|  | DLD Asset Management LP     | 028-17749              |
|  | AIGH Capital Management LLC | 028-20823              |
|  | PB INVESTMENT PARTNERS L.P. | 028-21878              |

### 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 |
| AMERICAN AIRLINES GROUP INC | NOTE 6.500% 7/0 | 02376RAF9 |  | 718664 | 675000 | PRN |  | OTR | 1 | 0 | 675000 | 0 |
| ABEONA THERAPEUTICS INC | COM NEW | 00289Y206 |  | 494374 | 160511 | SH |  | OTR | 2 | 0 | 160511 | 0 |
| ADTRAN HOLDINGS INC | COM | 00486H105 |  | 56370 | 3000 | SH |  | SOLE |  | 3000 | 0 | 0 |
| ADTRAN HOLDINGS INC | COM | 00486H105 |  | 5454549 | 290290 | SH |  | OTR | 2 | 0 | 290290 | 0 |
| ADVERUM BIOTECHNOLOGIES INC | COM | 00773U108 |  | 173016 | 298560 | SH |  | OTR | 2 | 0 | 298560 | 0 |
| AIRGAIN INC | COM | 00938A104 |  | 6510 | 1000 | SH |  | SOLE |  | 1000 | 0 | 0 |
| AIRGAIN INC | COM | 00938A104 |  | 1160785 | 178308 | SH |  | OTR | 2 | 0 | 178308 | 0 |
| AMYRIS INC | NOTE 1.500%11/1 | 03236MAJ0 |  | 588881 | 1805000 | PRN |  | OTR | 1 | 0 | 1805000 | 0 |
| AMYRIS INC | PUT | 03236M950 |  | 144049 | 450800 | SH | Put | OTR | 1 | 0 | 450800 | 0 |
| AMYRIS INC | CALL | 03236M950 |  | 34258 | 1682 | SH | Call | OTR | 1 | 0 | 1682 | 0 |
| ANI PHARMACEUTICALS INC | COM | 00182C103 |  | 3540924 | 88017 | SH |  | OTR | 2 | 0 | 88017 | 0 |
| APELLIS PHARMACEUTICALS INC | CALL | 03753U906 |  | 5025 | 13400 | SH | Call | SOLE |  | 13400 | 0 | 0 |
| APOLLO GLOBAL MGMT INC | COM | 03769M106 |  | 1622754 | 25439 | SH |  | OTR | 3 | 0 | 25439 | 0 |
| ASPEN AEROGELS INC | COM | 04523Y105 |  | 50108 | 4250 | SH |  | SOLE |  | 4250 | 0 | 0 |
| ASPEN AEROGELS INC | COM | 04523Y105 |  | 2900340 | 246000 | SH |  | OTR | 2 | 0 | 246000 | 0 |
| ASURE SOFTWARE INC | COM | 04649U102 |  | 70050 | 7500 | SH |  | SOLE |  | 7500 | 0 | 0 |
| AVEO PHARMACEUTICALS INC | COM NEW | 053588307 |  | 2555329 | 170925 | SH |  | OTR | 2 | 0 | 170925 | 0 |
| AVIAT NETWORKS INC | COM NEW | 05366Y201 |  | 85773 | 2750 | SH |  | SOLE |  | 2750 | 0 | 0 |
| AVIAT NETWORKS INC | COM NEW | 05366Y201 |  | 4093875 | 131256 | SH |  | OTR | 2 | 0 | 131256 | 0 |
| AVAYA HLDGS CORP | PUT | 05351X951 |  | 357460 | 346400 | SH | Put | OTR | 1 | 0 | 346400 | 0 |
| AVAYA HLDGS CORP | CALL | 05351X901 |  | 6705 | 171300 | SH | Call | OTR | 1 | 0 | 171300 | 0 |
| BANK AMERICA CORP | COM | 060505104 |  | 1861178 | 56195 | SH |  | OTR | 3 | 0 | 56195 | 0 |
| BIOCARDIA INC | COM | 09060U507 |  | 306035 | 146428 | SH |  | OTR | 2 | 0 | 146428 | 0 |
| BIODESIX INC | COM | 09075X108 |  | 3445315 | 1497963 | SH |  | OTR | 2 | 0 | 1497963 | 0 |
| BK TECHNOLOGIES CORPORATION | COM | 05587G104 |  | 1381157 | 416011 | SH |  | OTR | 2 | 0 | 416011 | 0 |
| BLACKLINE INC | NOTE 3/1 | 09239BAD1 |  | 258217 | 301000 | PRN |  | OTR | 1 | 0 | 301000 | 0 |
| BLOOMIN BRANDS INC | NOTE 5.000% 5/0 | 094235AB4 |  | 5204271 | 2823000 | PRN |  | OTR | 1 | 0 | 2823000 | 0 |
| BOOKING HOLDINGS INC | COM | 09857L108 |  | 721470 | 358 | SH |  | OTR | 1 | 0 | 358 | 0 |
| BRANDYWINE RLTY TR | SH BEN INT NEW | 105368203 |  | 202950 | 33000 | SH |  | SOLE |  | 33000 | 0 | 0 |
| BEYOND MEAT INC | NOTE 3/1 | 08862EAB5 |  | 24616 | 93000 | PRN |  | OTR | 1 | 0 | 93000 | 0 |
| CALAMP CORP | COM | 128126109 |  | 2562762 | 572045 | SH |  | OTR | 2 | 0 | 572045 | 0 |
| CAMBIUM NETWORKS CORP | SHS | G17766109 |  | 3109623 | 143499 | SH |  | OTR | 2 | 0 | 143499 | 0 |
| CAPITAL ONE FINL CORP | COM | 14040H105 |  | 1149729 | 12368 | SH |  | OTR | 3 | 0 | 12368 | 0 |
| CAPSTONE GREEN ENERGY CORP | COM | 14067D508 |  | 319609 | 220420 | SH |  | OTR | 2 | 0 | 220420 | 0 |
| CARDLYTICS INC | COM | 14161W105 |  | 298341 | 51616 | SH |  | OTR | 3 | 0 | 51616 | 0 |
| CARVANA CO | CL A | 146869102 |  | 1509643 | 318490 | SH |  | OTR | 3 | 0 | 318490 | 0 |
| CASA SYS INC | COM | 14713L102 |  | 84630 | 31000 | SH |  | SOLE |  | 31000 | 0 | 0 |
| CARNIVAL CORP | NOTE 5.750%10/0 | 143658BT8 |  | 1297122 | 1168000 | PRN |  | OTR | 1 | 0 | 1168000 | 0 |
| CARNIVAL CORP | PUT | 143658950 |  | 16794 | 93300 | SH | Put | OTR | 1 | 0 | 93300 | 0 |
| CELLECTAR BIOSCIENCES INC | COM NEW | 15117F807 |  | 575586 | 336600 | SH |  | OTR | 2 | 0 | 336600 | 0 |
| CERAGON NETWORKS LTD | ORD | M22013102 |  | 66850 | 35000 | SH |  | SOLE |  | 35000 | 0 | 0 |
| CINEMARK HLDGS INC | NOTE 4.500% 8/1 | 17243VAB8 |  | 2782750 | 2899000 | PRN |  | OTR | 1 | 0 | 2899000 | 0 |
| CINEMARK HLDGS INC | PUT | 17243V952 |  | 141898 | 169300 | SH | Put | OTR | 1 | 0 | 169300 | 0 |
| COGNITION THERAPEUTICS INC | COM | 19243B102 |  | 1053610 | 501719 | SH |  | OTR | 2 | 0 | 501719 | 0 |
| COHERENT CORP | COM | 19247G107 |  | 35100 | 1000 | SH |  | SOLE |  | 1000 | 0 | 0 |
| COHERENT CORP | COM | 19247G107 |  | 863460 | 24600 | SH |  | OTR | 2 | 0 | 24600 | 0 |
| COMMSCOPE HLDG CO INC | COM | 20337X109 |  | 58800 | 8000 | SH |  | SOLE |  | 8000 | 0 | 0 |
| COYA THERAPEUTICS INC | COMMON STOCK | 22407B108 |  | 637820 | 137758 | SH |  | OTR | 2 | 0 | 137758 | 0 |
| CTI BIOPHARMA CORP | COM | 12648L601 |  | 2078474 | 345836 | SH |  | OTR | 2 | 0 | 345836 | 0 |
| CTI BIOPHARMA CORP | COM | 12648L601 |  | 115146 | 19159 | SH |  | SOLE |  | 0 | 19159 | 0 |
| CTO RLTY GROWTH INC NEW | COM | 22948Q101 |  | 469833 | 25702 | SH |  | SOLE |  | 25702 | 0 | 0 |
| CYCLO THERAPEUTICS INC | *W EXP 12/11/202 | 23254X110 |  | 36696 | 70570 | SH |  | OTR | 2 | 0 | 70570 | 0 |
| DZS INC | COM | 268211109 |  | 81786 | 6450 | SH |  | SOLE |  | 6450 | 0 | 0 |
| DZS INC | COM | 268211109 |  | 5552318 | 437880 | SH |  | OTR | 2 | 0 | 437880 | 0 |
| EASTERLY GOVT PPTYS INC | COM | 27616P103 |  | 204061 | 14300 | SH |  | SOLE |  | 14300 | 0 | 0 |
| ENCORE CAP EUROPE FIN LTD | NOTE 4.500% 9/0 | 29260UAA5 |  | 2032315 | 1706000 | PRN |  | OTR | 1 | 0 | 1706000 | 0 |
| ENVESTNET INC | NOTE 0.750% 8/1 | 29404KAE6 |  | 565611 | 619000 | PRN |  | OTR | 1 | 0 | 619000 | 0 |
| ENVESTNET INC | COM | 29404K106 |  | 995098 | 16128 | SH |  | OTR | 3 | 0 | 16128 | 0 |
| EQUITY COMWLTH | COM SH BEN INT | 294628102 |  | 263508 | 10553 | SH |  | SOLE |  | 10553 | 0 | 0 |
| EQUITY RESIDENTIAL | SH BEN INT | 29476L107 |  | 294292 | 4988 | SH |  | SOLE |  | 4988 | 0 | 0 |
| EVERSPIN TECHNOLOGIES INC | COM | 30041T104 |  | 1164053 | 209362 | SH |  | OTR | 2 | 0 | 209362 | 0 |
| EVOLUS INC | COM | 30052C107 |  | 1716636 | 228580 | SH |  | OTR | 2 | 0 | 228580 | 0 |
| EXELIXIS INC | CALL | 30161Q904 |  | 14065 | 51100 | SH | Call | SOLE |  | 51100 | 0 | 0 |
| EXELIXIS INC | PUT | 30161Q954 |  | 5025 | 13400 | SH | Put | SOLE |  | 13400 | 0 | 0 |
| FTI CONSULTING INC | NOTE 2.000% 8/1 | 302941AP4 |  | 3710017 | 2341000 | PRN |  | OTR | 1 | 0 | 2341000 | 0 |
| FRANKLIN COVEY CO | COM | 353469109 |  | 2513279 | 53737 | SH |  | SOLE |  | 53737 | 0 | 0 |
| FRANKLIN WIRELESS CORP | COM | 355184102 |  | 440764 | 98826 | SH |  | OTR | 2 | 0 | 98826 | 0 |
| LIBERTY MEDIA CORP DEL | NOTE 1.375%10/1 | 531229AB8 |  | 4017229 | 3217000 | PRN |  | OTR | 1 | 0 | 3217000 | 0 |
| GEO GROUP INC NEW | PUT | 36162J956 |  | 20195 | 57700 | SH | Put | OTR | 1 | 0 | 57700 | 0 |
| GUESS INC | NOTE 2.000 4/1 | 401617AD7 |  | 2706180 | 2544000 | PRN |  | OTR | 1 | 0 | 2544000 | 0 |
| GUESS INC | PUT | 401617955 |  | 15663 | 92900 | SH | Put | OTR | 1 | 0 | 92900 | 0 |
| GSK PLC | SPONSORED ADR | 37733W204 |  | 1120896 | 31898 | SH |  | SOLE |  | 31898 | 0 | 0 |
| GSK PLC | PUT | 37733W954 |  | 9120 | 52300 | SH | Put | SOLE |  | 52300 | 0 | 0 |
| HANNON ARMSTRONG SUST INFR C | PUT | 41068X950 |  | 11548 | 14900 | SH | Put | OTR | 1 | 0 | 14900 | 0 |
| HIGHWOODS PPTYS INC | COM | 431284108 |  | 243426 | 8700 | SH |  | SOLE |  | 8700 | 0 | 0 |
| HILTON GRAND VACATIONS INC | COM | 43283X105 |  | 1846259 | 47905 | SH |  | OTR | 3 | 0 | 47905 | 0 |
| HERBALIFE NUTRITION LTD | PUT | G4412G951 |  | 19073 | 21300 | SH | Put | OTR | 1 | 0 | 21300 | 0 |
| INTEGRA LIFESCIENCES HLDGS C | NOTE 0.500% 8/1 | 457985AM1 |  | 564207 | 579000 | PRN |  | OTR | 1 | 0 | 579000 | 0 |
| IDEAL PWR INC | COM NEW | 451622203 |  | 558485 | 52588 | SH |  | OTR | 2 | 0 | 52588 | 0 |
| ISHARES TR | PUT | 464288951 |  | 36473 | 64100 | SH | Put | OTR | 1 | 0 | 64100 | 0 |
| IMAX CORP | PUT | 45245E959 |  | 5823 | 20000 | SH | Put | OTR | 1 | 0 | 20000 | 0 |
| IMAX CORP | NOTE 0.500% 4/0 | 45245EAJ8 |  | 742465 | 866000 | PRN |  | OTR | 1 | 0 | 866000 | 0 |
| IMEDIA BRANDS INC | COM CL A | 452465206 |  | 35840 | 56000 | SH |  | SOLE |  | 56000 | 0 | 0 |
| INDEPENDENCE RLTY TR INC | COM | 45378A106 |  | 267046 | 15839 | SH |  | SOLE |  | 15839 | 0 | 0 |
| INDIE SEMICONDUCTOR INC | CLASS A COM | 45569U101 |  | 52470 | 9000 | SH |  | SOLE |  | 9000 | 0 | 0 |
| INDIE SEMICONDUCTOR INC | CLASS A COM | 45569U101 |  | 4389640 | 752940 | SH |  | OTR | 2 | 0 | 752940 | 0 |
| INFINERA CORP | COM | 45667G103 |  | 20220 | 3000 | SH |  | SOLE |  | 3000 | 0 | 0 |
| INFINERA CORP | COM | 45667G103 |  | 1367816 | 202940 | SH |  | OTR | 2 | 0 | 202940 | 0 |
| IONIS PHARMACEUTICALS INC | NOTE 0.125%12/1 | 462222AB6 |  | 1164178 | 1278000 | PRN |  | OTR | 1 | 0 | 1278000 | 0 |
| IVERIC BIO INC | PUT | 46583P952 |  | 17850 | 25500 | SH | Put | SOLE |  | 25500 | 0 | 0 |
| IVERIC BIO INC | CALL | 46583P902 |  | 2010 | 13400 | SH | Call | SOLE |  | 13400 | 0 | 0 |
| ITEOS THERAPEUTICS INC | COM | 46565G104 |  | 268469 | 12766 | SH |  | SOLE |  | 12766 | 0 | 0 |
| ITERIS INC NEW | COM | 46564T107 |  | 605557 | 194713 | SH |  | SOLE |  | 194713 | 0 | 0 |
| IVERIC BIO INC | COM | 46583P102 |  | 545955 | 25500 | SH |  | SOLE |  | 25500 | 0 | 0 |
| JBG SMITH PPTYS | COM | 46590V100 |  | 241046 | 12700 | SH |  | SOLE |  | 12700 | 0 | 0 |
| KITE RLTY GROUP TR | COM NEW | 49803T300 |  | 311540 | 14800 | SH |  | SOLE |  | 14800 | 0 | 0 |
| KWESST MICRO SYSTEMS INC | *W EXP 12/09/202 | 501506133 |  | 132618 | 147353 | SH |  | OTR | 2 | 0 | 147353 | 0 |
| KWESST MICRO SYSTEMS INC | COM NEW | 501506604 |  | 387538 | 147353 | SH |  | OTR | 2 | 0 | 147353 | 0 |
| LANTRONIX INC | COM NEW | 516548203 |  | 118800 | 27500 | SH |  | SOLE |  | 27500 | 0 | 0 |
| LCI INDS | NOTE 1.123% 5/1 | 501812AB7 |  | 1352059 | 1593000 | PRN |  | OTR | 1 | 0 | 1593000 | 0 |
| LIGHTPATH TECHNOLOGIES INC | COM CL A | 532257805 |  | 609299 | 499425 | SH |  | OTR | 2 | 0 | 499425 | 0 |
| LUMENTUM HLDGS INC | NOTE 0.250% 3/1 | 55024UAB5 |  | 1622764 | 1535000 | PRN |  | OTR | 1 | 0 | 1535000 | 0 |
| LIVENT CORP | NOTE 4.125% 7/1 | 53814LAB4 |  | 3158877 | 1315000 | PRN |  | OTR | 1 | 0 | 1315000 | 0 |
| SOUTHWEST AIRLINES CO | PUT | 844741958 |  | 14732 | 17400 | SH | Put | OTR | 1 | 0 | 17400 | 0 |
| VERADIGM INC | NOTE 0.875% 1/0 | 01988PAF5 |  | 2240919 | 1564000 | PRN |  | OTR | 1 | 0 | 1564000 | 0 |
| MEDICENNA THERAPEUTICS CORP | COM | 58490H107 |  | 503380 | 1070938 | SH |  | OTR | 2 | 0 | 1070938 | 0 |
| MICROCHIP TECHNOLOGY INC. | COM | 595017104 |  | 513247 | 7306 | SH |  | OTR | 1 | 0 | 7306 | 0 |
| MIDDLEBY CORP | NOTE 1.000% 9/0 | 596278AB7 |  | 1659662 | 1408000 | PRN |  | OTR | 1 | 0 | 1408000 | 0 |
| MIRION TECHNOLOGIES INC | COM CL A | 60471A101 |  | 88369 | 13369 | SH |  | SOLE |  | 13369 | 0 | 0 |
| MERCK  CO INC | CALL | 58933Y905 |  | 4672 | 6400 | SH | Call | SOLE |  | 6400 | 0 | 0 |
| NATIONAL STORAGE AFFILIATES | COM SHS BEN IN | 637870106 |  | 184212 | 5100 | SH |  | SOLE |  | 5100 | 0 | 0 |
| NETSTREIT CORP | COM | 64119V303 |  | 470604 | 25674 | SH |  | SOLE |  | 25674 | 0 | 0 |
| NOKIA CORP | SPONSORED ADR | 654902204 |  | 115750 | 25000 | SH |  | SOLE |  | 25000 | 0 | 0 |
| NATERA INC | NOTE 2.250% 5/0 | 632307AB0 |  | 1060063 | 829000 | PRN |  | OTR | 1 | 0 | 829000 | 0 |
| NVE CORP | COM NEW | 629445206 |  | 346931 | 5358 | SH |  | SOLE |  | 5358 | 0 | 0 |
| ONEMAIN HLDGS INC | COM | 68268W103 |  | 1757269 | 52755 | SH |  | OTR | 3 | 0 | 52755 | 0 |
| PALO ALTO NETWORKS INC | NOTE 0.750% 7/0 | 697435AD7 |  | 3400767 | 2148000 | PRN |  | OTR | 1 | 0 | 2148000 | 0 |
| PARABELLUM ACQUISITION CORP | COM CL A | 69901P109 |  | 199553 | 39221 | SH |  | OTR | 2 | 0 | 39221 | 0 |
| PARABELLUM ACQUISITION CORP | *W EXP 99/99/999 | 69901P117 |  | 2781 | 139072 | SH |  | OTR | 2 | 0 | 139072 | 0 |
| PARATEK PHARMACEUTICALS INC | COM | 699374302 |  | 1912028 | 1022475 | SH |  | OTR | 2 | 0 | 1022475 | 0 |
| PG CORP | UNIT 08/16/2023 | 69331C140 |  | 843784 | 5859 | SH |  | OTR | 1 | 0 | 5859 | 0 |
| PLYMOUTH INDL REIT INC | COM | 729640102 |  | 245504 | 12800 | SH |  | SOLE |  | 12800 | 0 | 0 |
| POWERFLEET INC | COM | 73931J109 |  | 51110 | 19000 | SH |  | SOLE |  | 19000 | 0 | 0 |
| PROGRESS SOFTWARE CORP | NOTE 1.000% 4/1 | 743312AB6 |  | 937146 | 911000 | PRN |  | OTR | 1 | 0 | 911000 | 0 |
| PROCESSA PHARMACEUTICALS INC | COM NEW | 74275C205 |  | 78049 | 70954 | SH |  | OTR | 2 | 0 | 70954 | 0 |
| PROGRESSIVE CORP | COM | 743315103 |  | 1943315 | 14982 | SH |  | OTR | 3 | 0 | 14982 | 0 |
| PROSOMNUS INC | COMMON STOCK | 50535E108 |  | 305789 | 54998 | SH |  | OTR | 2 | 0 | 54998 | 0 |
| PARSONS CORP DEL | NOTE 0.250% 8/1 | 70202LAB8 |  | 1795260 | 1571000 | PRN |  | OTR | 1 | 0 | 1571000 | 0 |
| RAYMOND JAMES FINL INC | COM | 754730109 |  | 1810146 | 16941 | SH |  | OTR | 3 | 0 | 16941 | 0 |
| ROYAL CARIBBEAN GROUP | PUT | V7780T953 |  | 23489 | 35500 | SH | Put | OTR | 1 | 0 | 35500 | 0 |
| RF INDS LTD | COM PAR $0.01 | 749552105 |  | 637214 | 124944 | SH |  | OTR | 2 | 0 | 124944 | 0 |
| RIBBON COMMUNICATIONS INC | COM | 762544104 |  | 80910 | 29000 | SH |  | SOLE |  | 29000 | 0 | 0 |
| RVL PHARMACEUTICALS PLC | SHS | G6S41R101 |  | 510675 | 455960 | SH |  | OTR | 2 | 0 | 455960 | 0 |
| SAVERONE 2014 LTD | *W EXP 06/02/202 | 80516T113 |  | 14108 | 141364 | SH |  | OTR | 2 | 0 | 141364 | 0 |
| SCPHARMACEUTICALS INC | COM | 810648105 |  | 4498121 | 627353 | SH |  | OTR | 2 | 0 | 627353 | 0 |
| SCYNEXIS INC | COM NEW | 811292200 |  | 741694 | 475410 | SH |  | OTR | 2 | 0 | 475410 | 0 |
| SEQUANS COMMUNICATIONS S A | SPONSORED ADS | 817323207 |  | 169320 | 51000 | SH |  | SOLE |  | 51000 | 0 | 0 |
| SILICOM LTD | ORD | M84116108 |  | 3107888 | 73734 | SH |  | SOLE |  | 73734 | 0 | 0 |
| SIMON PPTY GROUP INC NEW | COM | 828806109 |  | 276078 | 2350 | SH |  | SOLE |  | 2350 | 0 | 0 |
| SOLENO THERAPEUTICS INC | COM | 834203309 |  | 205748 | 103913 | SH |  | OTR | 2 | 0 | 103913 | 0 |
| SOUTHWEST AIRLS CO | COM | 844741108 |  | 768282 | 22818 | SH |  | OTR | 1 | 0 | 22818 | 0 |
| TELA BIO INC | COM | 872381108 |  | 4781678 | 415798 | SH |  | OTR | 2 | 0 | 415798 | 0 |
| TFF PHARMACEUTICALS INC | COM | 87241J104 |  | 449215 | 427824 | SH |  | OTR | 2 | 0 | 427824 | 0 |
| THERATECHNOLOGIES INC | COM | 88338H100 |  | 848314 | 952024 | SH |  | OTR | 2 | 0 | 952024 | 0 |
| TRANSPHORM INC | COM | 89386L100 |  | 4813323 | 884802 | SH |  | OTR | 2 | 0 | 884802 | 0 |
| TYLER TECHNOLOGIES INC | COM | 902252105 |  | 383990 | 1191 | SH |  | OTR | 1 | 0 | 1191 | 0 |
| VACCINEX INC | COM | 918640103 |  | 334637 | 507795 | SH |  | OTR | 2 | 0 | 507795 | 0 |
| VAIL RESORTS ORD | COM | 91879Q109 |  | 286973 | 1204 | SH |  | OTR | 1 | 0 | 1204 | 0 |
| VICI PPTYS INC | COM | 925652109 |  | 507190 | 15654 | SH |  | SOLE |  | 15654 | 0 | 0 |
| WAYFAIR INC | NOTE 1.000% 8/1 | 94419LAF8 |  | 680610 | 1176000 | PRN |  | OTR | 1 | 0 | 1176000 | 0 |
| WAYFAIR INC | PUT | 94419L951 |  | 49640 | 32300 | SH | Put | OTR | 1 | 0 | 32300 | 0 |
| WEAVE COMMUNICATIONS INC | COM | 94724R108 |  | 239154 | 52217 | SH |  | SOLE |  | 52217 | 0 | 0 |
| WHITESTONE REIT | COM | 966084204 |  | 229914 | 23850 | SH |  | SOLE |  | 23850 | 0 | 0 |
| WOLFSPEED INC | COM | 977852102 |  | 261385 | 3786 | SH |  | OTR | 1 | 0 | 3786 | 0 |
| WORLD WRESTLING ENTMT INC | NOTE 3.375%12/1 | 98156QAB4 |  | 3443683 | 1238000 | PRN |  | OTR | 1 | 0 | 1238000 | 0 |
| UNITED STATES STL CORP | NOTE 5.000%11/0 | 912909AT5 |  | 6847165 | 3422000 | PRN |  | OTR | 1 | 0 | 3422000 | 0 |
| ZETA GLOBAL HOLDINGS CORP | CL A | 98956A105 |  | 155230 | 19000 | SH |  | SOLE |  | 19000 | 0 | 0 |
| ALPHATEC HLDGS INC | COM NEW | 02081G201 |  | 49400 | 4000 | SH |  | SOLE |  | 4000 | 0 | 0 |
| ALTUS POWER INC | COM CL A | 02217A102 |  | 22820 | 3500 | SH |  | SOLE |  | 3500 | 0 | 0 |
| APOLLO ENDOSURGERY INC | COM | 03767D108 |  | 774629 | 77696 | SH |  | OTR | 2 | 0 | 77696 | 0 |
| ASSERTIO HOLDINGS INC | COM NEW | 04546C205 |  | 21500 | 5000 | SH |  | SOLE |  | 5000 | 0 | 0 |
| AXESOME THERAPEUTICS INC | CALL | 05464T904 |  | 16697 | 25500 | SH | Call | SOLE |  | 25500 | 0 | 0 |
| AXESOME THERAPEUTICS INC | PUT | 05464T954 |  | 11030 | 26200 | SH | Put | SOLE |  | 26200 | 0 | 0 |
| BARCLAYS PLC | PUT | 06738E954 |  | 553 | 22100 | SH | Put | OTR | 1 | 22100 | 0 | 0 |
| BIONTECH SE | SPONSORED ADS | 09075V102 |  | 480704 | 3200 | SH |  | SOLE |  | 3200 | 0 | 0 |
| CARDLYTICS INC | COM | 14161W105 |  | 298340 | 51616 | SH |  | OTR | 3 | 0 | 51616 | 0 |
| CITY OFFICE REIT INC | COM | 178587101 |  | 134499 | 16050 | SH |  | SOLE |  | 16050 | 0 | 0 |
| CONTEXT THERAPEUTICS INC | COM | 21077P108 |  | 186188 | 281889 | SH |  | OTR | 2 | 0 | 281889 | 0 |
| DIGITAL TURBINE INC | COM NEW | 25400W102 |  | 408005 | 26772 | SH |  | SOLE |  | 26772 | 0 | 0 |
| EQUITY LIFESTYLE PPTYS INC | COM | 29472R108 |  | 68734 | 1064 | SH |  | SOLE |  | 1064 | 0 | 0 |
| ESSEX PPTY TR INC | COM | 297178105 |  | 134569 | 635 | SH |  | SOLE |  | 635 | 0 | 0 |
| FTI CONSULTING INC | NOTE 2.000% 8/1 | 302941AP4 |  | 1511899 | 954000 | SH |  | OTR | 1 | 0 | 954000 | 0 |
| GUIDEWIRE SOFTWARE INC | NOTE 1.250% 3/1 | 40171VAA8 |  | 374865 | 402000 | SH |  | OTR | 1 | 0 | 402000 | 0 |
| IMMUNOGEN INC | PUT | 45253H951 |  | 3195 | 63900 | SH | Put | SOLE |  | 63900 | 0 | 0 |
| IMMUNOGEN INC | CALL | 45253H901 |  | 3825 | 25500 | SH | Call | SOLE |  | 25500 | 0 | 0 |
| INCYTE CORP | PUT | 45337C952 |  | 8320 | 12800 | SH | Put | SOLE |  | 12800 | 0 | 0 |
| INCYTE CORP | CALL | 45337C902 |  | 13920 | 44800 | SH | Call | SOLE |  | 44800 | 0 | 0 |
| INCYTE CORP | COM | 45337C102 |  | 1028096 | 12800 | SH |  | SOLE |  | 12800 | 0 | 0 |
| MICROCHIP TECHNOLOGY INC | PUT | 595017954 |  | 16455 | 16100 | SH | Put | OTR | 1 | 0 | 16100 | 0 |
| PFIZER INC | CALL | 717081903 |  | 4096 | 44800 | SH | Call | SOLE |  | 44800 | 0 | 0 |
| SEAGEN INC | COM | 81181C104 |  | 411232 | 3200 | SH |  | SOLE |  | 3200 | 0 | 0 |
| SIRIUS XM HOLDINGS INC | COM | 82968B103 |  | 166370 | 28488 | SH |  | OTR | 1 | 0 | 28488 | 0 |
| VICI PPTYS INC | COM | 925652109 |  | 507190 | 15654 | SH |  | SOLE |  | 15654 | 0 | 0 |

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