SCHEDULE: Polar Asset Management Discloses 9.99% Stake in Upexi

Polar Asset Management Partners Inc. has reported a 9.99% beneficial ownership stake in Upexi, Inc., including shares from exercisable warrants.

Summary

• Polar Asset Management Partners Inc. reported beneficial ownership of 6,249,999 shares of Upexi, Inc. Common Stock.
• This ownership represents 9.99% of the class of securities.
• The reported amount includes 5,000,000 common shares and 1,249,999 shares issuable upon exercising warrants.
• The warrants are subject to a 9.99% blocker, meaning they are not exercisable to the extent that, following conversion, beneficial ownership would exceed 9.99% of Upexi's outstanding common shares.
• Polar Asset Management Partners Inc. is an investment adviser incorporated in Ontario, Canada, serving as investment advisor to Polar Multi-Strategy Master Fund and Polar Long/Short Master Fund.
• The securities were acquired and are held in the ordinary course of business and not for the purpose of changing or influencing the control of Upexi, Inc.

Sentiment

Score: 5

Explanation: The filing is a neutral, factual disclosure of beneficial ownership by an institutional investor, without any explicit positive or negative financial or operational news.

Future Outlook

NA

Industry Context

This filing indicates an institutional investor, Polar Asset Management Partners Inc., has taken a significant passive stake in Upexi, Inc., which can be viewed as a vote of confidence or strategic positioning by a major fund manager within the broader market.

Stakeholder Impact

• Shareholders may view the significant stake by an institutional investor as a positive signal of confidence in Upexi, Inc.

Key Dates

Keywords

Upexi Inc., Polar Asset Management Partners Inc., Beneficial Ownership, Schedule 13G, Common Stock, Warrants, Institutional Investor