$496 Million is the total value of Warberg Asset Management LLC's 244 reported holdings in Q3 2023. The portfolio turnover from Q2 2023 to Q3 2023 was 55.5% .
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| Sell | SPDR S&P 500 ETF TRput | $143,205,800 | -19.8% | 335,000 | -16.9% | 28.89% | -2.5% | |
| OXYWS | Buy | OCCIDENTAL PETE CORP*w exp 08/03/202 | $45,009,259 | +22.3% | 1,046,696 | +4.9% | 9.08% | +48.6% |
| Buy | ON SEMICONDUCTOR CORPnote 1.625%10/1 | $44,208,553 | +10.5% | 9,849,000 | +12.2% | 8.92% | +34.3% | |
| Buy | KBR INCnote 2.500%11/0 | $37,263,880 | +0.1% | 15,790,000 | +8.7% | 7.52% | +21.7% | |
| Buy | PALO ALTO NETWORKS INCnote 0.375% 6/0 | $12,626,894 | +1225.9% | 5,356,000 | +1347.6% | 2.55% | +1512.7% | |
| Buy | EQT CORPnote 1.750% 5/0 | $12,564,587 | +20.7% | 4,515,000 | +22.3% | 2.54% | +46.7% | |
| VMW | New | VMWARE INC | $11,567,863 | – | 69,485 | +100.0% | 2.33% | – |
| Sell | RHnote 9/1 | $9,624,090 | -25.4% | 7,302,000 | -9.4% | 1.94% | -9.3% | |
| Buy | PIONEER NAT RES COnote 0.250% 5/1 | $9,277,415 | +58.3% | 3,759,000 | +41.0% | 1.87% | +92.6% | |
| ALTAIR ENGR INCnote 0.250% 6/0 | $9,061,907 | -17.2% | 6,700,000 | 0.0% | 1.83% | +0.6% | ||
| Buy | CONMED CORPnote 2.625% 2/0 | $8,683,894 | +77.8% | 7,476,000 | +135.8% | 1.75% | +116.0% | |
| Sell | INVESCO QQQ TRput | $8,240,210 | -76.2% | 23,000 | -75.5% | 1.66% | -71.1% | |
| Buy | INTERDIGITAL INCnote 2.000% 6/0 | $6,630,666 | +118.0% | 6,200,000 | +148.0% | 1.34% | +165.0% | |
| VERADIGM INCnote 0.875% 1/0 | $6,228,650 | +1.9% | 5,500,000 | 0.0% | 1.26% | +23.8% | ||
| Buy | BOOKING HOLDINGS INCnote 0.750% 5/0 | $5,901,325 | +63.2% | 3,527,000 | +46.3% | 1.19% | +98.5% | |
| Buy | ETSY INCnote 0.125%10/0 | $5,422,172 | -13.7% | 5,323,000 | +0.3% | 1.09% | +4.9% | |
| ATI INCnote 3.500% 6/1 | $5,384,521 | -7.1% | 2,000,000 | 0.0% | 1.09% | +12.9% | ||
| Buy | PARSONS CORP DELnote 0.250% 8/1 | $5,214,239 | +18.3% | 4,096,000 | +6.7% | 1.05% | +43.9% | |
| SPY | New | SPDR S&P 500 ETF TRtr unit | $5,128,680 | – | 12,000 | +100.0% | 1.04% | – |
| Buy | REPLIGEN CORPnote 0.375% 7/1 | $4,909,944 | +39.6% | 3,432,000 | +28.2% | 0.99% | +69.7% | |
| Sell | APPLE INCput | $4,793,880 | -42.5% | 28,000 | -34.9% | 0.97% | -30.1% | |
| Buy | HUBSPOT INCnote 0.375% 6/0 | $4,591,475 | +3280.9% | 2,574,000 | +3525.4% | 0.93% | +3926.1% | |
| Buy | BOX INCnote 1/1 | $4,096,610 | -6.0% | 3,786,000 | +8.2% | 0.83% | +14.4% | |
| Sell | SEA LTDnote 1.000%12/0 | $3,896,988 | -39.3% | 3,500,000 | -30.0% | 0.79% | -26.3% | |
| Buy | AKAMAI TECHNOLOGIES INCnote 0.125% 5/0 | $3,866,499 | +21.4% | 3,273,000 | +9.8% | 0.78% | +47.7% | |
| New | WORKIVA INCnote 1.125% 8/1 | $3,818,879 | – | 2,777,000 | +100.0% | 0.77% | – | |
| HTZZW | Sell | HERTZ GLOBAL HLDGS INC*w exp 06/30/205 | $3,754,057 | -50.7% | 613,408 | -18.3% | 0.76% | -40.1% |
| Buy | PROGRESS SOFTWARE CORPnote 1.000% 4/1 | $3,225,937 | -2.1% | 3,123,000 | +4.1% | 0.65% | +19.0% | |
| Buy | MICROCHIP TECHNOLOGY INC.note 1.625% 2/1 | $2,870,810 | +46.0% | 1,300,000 | +68.6% | 0.58% | +77.6% | |
| MIDDLEBY CORPnote 1.000% 9/0 | $2,733,365 | -9.9% | 2,438,000 | 0.0% | 0.55% | +9.5% | ||
| NICE SYS INCnote 1.250% 1/1 | $2,453,000 | -6.5% | 1,060,000 | 0.0% | 0.50% | +13.8% | ||
| Buy | ISHARES TRput | $2,217,250 | +53.9% | 25,000 | +78.6% | 0.45% | +87.0% | |
| Buy | FORD MTR CO DELnote 3/1 | $2,113,116 | -3.5% | 2,145,000 | +7.2% | 0.43% | +17.4% | |
| Buy | ENPHASE ENERGY INCnote 0.250% 3/0 | $2,097,030 | +876.5% | 1,338,000 | +1238.0% | 0.42% | +1075.0% | |
| New | NOBLE CORP PLCw exp 02/04/202 | $1,894,136 | – | 59,490 | +100.0% | 0.38% | – | |
| Buy | NEUROCRINE BIOSCIENCES INCnote 2.250% 5/1 | $1,885,846 | +1619.6% | 1,271,000 | +1377.9% | 0.38% | +2011.1% | |
| Buy | NVIDIA CORPORATIONput | $1,739,960 | +37.1% | 4,000 | +33.3% | 0.35% | +66.4% | |
| CHKEL | Buy | CHESAPEAKE ENERGY CORP*w exp 02/09/202 | $1,719,272 | +17.2% | 24,688 | +11.1% | 0.35% | +42.8% |
| New | DOLLAR GEN CORP NEWcall | $1,692,800 | – | 16,000 | +100.0% | 0.34% | – | |
| Sell | ZSCALER INCnote 0.125% 7/0 | $1,676,769 | -13.9% | 1,393,000 | -16.4% | 0.34% | +4.6% | |
| Buy | MODERNA INCput | $1,446,060 | +98.4% | 14,000 | +133.3% | 0.29% | +141.3% | |
| Sell | VANECK ETF TRUSTcall | $1,407,393 | -47.5% | 52,300 | -41.2% | 0.28% | -36.2% | |
| Buy | NOBLE CORP PLCw exp 02/04/202 | $1,373,764 | +553.4% | 49,063 | +482.6% | 0.28% | +691.4% | |
| FISKER INCput | $1,311,606 | +13.8% | 204,300 | 0.0% | 0.26% | +38.7% | ||
| Sell | SURGEPAYS INC*w exp 10/22/202 | $1,287,768 | -61.9% | 1,164,850 | -5.8% | 0.26% | -53.6% | |
| New | SALESFORCE INCput | $1,216,680 | – | 6,000 | +100.0% | 0.24% | – | |
| TLT | New | ISHARES TR20 yr tr bd etf | $1,108,875 | – | 12,500 | +100.0% | 0.22% | – |
| AAPL | New | APPLE INC | $941,655 | – | 5,500 | +100.0% | 0.19% | – |
| New | FORD MTR CO DELcall | $931,500 | – | 75,000 | +100.0% | 0.19% | – | |
| New | SPDR SER TRput | $918,940 | – | 22,000 | +100.0% | 0.18% | – | |
| New | SAREPTA THERAPEUTICS INCdbcv 1.500%11/1 | $911,580 | – | 517,000 | +100.0% | 0.18% | – | |
| Buy | BANK HAWAII CORPput | $894,420 | +189.2% | 18,000 | +140.0% | 0.18% | +252.9% | |
| EPRPRC | Buy | EPR PPTYSpfd c cv 5.75% | $873,486 | +7.2% | 46,425 | +20.3% | 0.18% | +30.4% |
| Buy | BLOOMIN BRANDS INCnote 5.000% 5/0 | $869,680 | +49.2% | 393,000 | +61.7% | 0.18% | +80.4% | |
| NEN | Sell | NEW ENGLAND RLTY ASSOC LTD Pdepositry rcpt | $828,730 | -48.3% | 12,150 | -45.0% | 0.17% | -37.2% |
| Buy | MONTEREY CAP ACQUISITION COR | $798,553 | +25.3% | 75,052 | +23.3% | 0.16% | +51.9% | |
| ACAH | Buy | ATLANTIC COASTAL ACQUISTN CO | $798,401 | +71.4% | 76,402 | +69.4% | 0.16% | +109.1% |
| CHKEW | Sell | CHESAPEAKE ENERGY CORP*w exp 02/09/202 | $784,080 | -0.5% | 10,144 | -5.2% | 0.16% | +20.6% |
| Buy | RIVIAN AUTOMOTIVE INCcall | $776,960 | +242.9% | 32,000 | +135.3% | 0.16% | +313.2% | |
| New | EXCELFIN ACQUISITION CORP | $772,645 | – | 72,617 | +100.0% | 0.16% | – | |
| Buy | HNR ACQUISITION CORP | $759,537 | +14.9% | 70,068 | +12.5% | 0.15% | +39.1% | |
| Sell | WESTERN ALLIANCE BANCORPput | $726,326 | -35.8% | 15,800 | -49.0% | 0.15% | -21.8% | |
| New | ATLANTIC COASTAL AQSTN CORP | $722,794 | – | 68,317 | +100.0% | 0.15% | – | |
| ISHARES SILVER TRcall | $711,900 | -2.6% | 35,000 | 0.0% | 0.14% | +19.0% | ||
| New | BROAD CAPITAL ACQUISITION CO | $716,133 | – | 65,103 | +100.0% | 0.14% | – | |
| New | 99 ACQUISITION GROUP INCunit 99/99/9999 | $707,588 | – | 68,300 | +100.0% | 0.14% | – | |
| OAK WOODS ACQUISITION CORPcl a | $679,575 | +1.8% | 65,000 | 0.0% | 0.14% | +23.4% | ||
| Buy | ACRI CAPITAL ACQUISITION COR | $603,577 | +2.3% | 55,096 | +1.1% | 0.12% | +24.5% | |
| Buy | ISHARES TRput | $558,800 | +93.7% | 4,000 | +100.0% | 0.11% | +135.4% | |
| New | RBC BEARINGS INC5% cnv pfd sr a | $552,275 | – | 5,000 | +100.0% | 0.11% | – | |
| Buy | GLOBAL STAR ACQUISITION INC | $516,700 | +182.7% | 48,562 | +178.2% | 0.10% | +246.7% | |
| Sell | PHP VENTURES ACQUISITION COR | $499,586 | -33.4% | 45,666 | -34.7% | 0.10% | -18.5% | |
| SPNT | New | SIRIUSPOINT LTD | $495,838 | – | 48,755 | +100.0% | 0.10% | – |
| Buy | SIRIUSPOINT LTDput | $495,279 | +67.7% | 48,700 | +48.9% | 0.10% | +104.1% | |
| Buy | COMPOSECURE INC*w exp 12/27/202 | $481,404 | +125.2% | 740,622 | +263.8% | 0.10% | +177.1% | |
| New | KEEN VISION ACQUISITION CORP | $467,820 | – | 46,000 | +100.0% | 0.09% | – | |
| NVIDIA CORPORATIONcall | $434,990 | +2.8% | 1,000 | 0.0% | 0.09% | +25.7% | ||
| Sell | EVEREST CONSOLIDATOR ACQ COR | $400,827 | -4.5% | 37,045 | -6.0% | 0.08% | +15.7% | |
| New | QOMOLANGMA ACQUISITION CORP | $402,190 | – | 37,871 | +100.0% | 0.08% | – | |
| Sell | BARCLAYS BANK PLCcall | $396,440 | -60.4% | 17,000 | -57.5% | 0.08% | -51.8% | |
| New | ZALATORIS ACQUISITION CORP | $385,785 | – | 36,602 | +100.0% | 0.08% | – | |
| New | ESH ACQUISITION CORP | $380,552 | – | 37,604 | +100.0% | 0.08% | – | |
| New | FORD MTR CO DELput | $372,600 | – | 30,000 | +100.0% | 0.08% | – | |
| Sell | DATADOG INCnote 0.125% 6/1 | $362,781 | -63.2% | 308,000 | -61.2% | 0.07% | -55.5% | |
| CHKEZ | Buy | CHESAPEAKE ENERGY CORP*w exp 02/09/202 | $348,207 | +37.4% | 4,743 | +31.3% | 0.07% | +66.7% |
| New | AQUARON ACQUISITION CORP | $340,914 | – | 32,253 | +100.0% | 0.07% | – | |
| New | INCEPTION GROWTH ACQUSTN LTD | $323,145 | – | 30,428 | +100.0% | 0.06% | – | |
| MRNA | New | MODERNA INC | $309,930 | – | 3,000 | +100.0% | 0.06% | – |
| THWWW | Buy | TARGET HOSPITALITY CORP*w exp 03/15/202 | $308,261 | +762.9% | 60,325 | +484.3% | 0.06% | +933.3% |
| Buy | REDWOODS ACQUISITION CORP | $304,440 | +188.9% | 28,519 | +183.3% | 0.06% | +258.8% | |
| New | CETUS CAP ACQUISITION CORP | $283,853 | – | 27,137 | +100.0% | 0.06% | – | |
| Buy | ALPHA STAR ACQUISITION CORPordinary shares | $272,487 | +20.3% | 24,828 | +17.7% | 0.06% | +44.7% | |
| PONO CAP THREE INC | $266,915 | +1.5% | 25,300 | 0.0% | 0.05% | +22.7% | ||
| New | AP ACQUISITION CORP | $252,952 | – | 23,027 | +100.0% | 0.05% | – | |
| Buy | TRAILBLAZER MERGER CORP Icl a | $236,319 | +2.2% | 22,877 | +0.8% | 0.05% | +26.3% | |
| Sell | UNITED STS NAT GAS FD LPcall | $232,220 | -42.0% | 34,000 | -37.0% | 0.05% | -28.8% | |
| New | CANTALOUPE INCcall | $218,125 | – | 34,900 | +100.0% | 0.04% | – | |
| Buy | DIRECT DIGITAL HOLDINGS INC*w exp 02/15/202 | $216,452 | +154.7% | 180,377 | +38.0% | 0.04% | +214.3% | |
| KRE | New | SPDR SER TRs&p regl bkg | $208,800 | – | 5,000 | +100.0% | 0.04% | – |
| Buy | RENEW ENERGY GLOBAL PLC*w exp 08/21/202 | $208,746 | -6.2% | 278,328 | +0.1% | 0.04% | +13.5% | |
| Sell | GOLDENSTONE ACQUISITION LTD | $204,645 | -70.8% | 19,090 | -71.1% | 0.04% | -64.7% | |
| Buy | ON SEMICONDUCTOR CORPnote 5/0 | $200,131 | +262.8% | 111,000 | +270.0% | 0.04% | +344.4% | |
| SOUTHWESTERN ENERGY COcall | $193,500 | +7.3% | 30,000 | 0.0% | 0.04% | +30.0% | ||
| Buy | RF ACQUISITION CORP | $191,764 | +7.8% | 18,006 | +5.9% | 0.04% | +30.0% | |
| New | REVELSTONE CAPITAL ACQSTN CO | $191,414 | – | 18,007 | +100.0% | 0.04% | – | |
| Sell | VISION SENSING ACQUISITION C | $190,150 | +0.5% | 17,429 | -1.4% | 0.04% | +22.6% | |
| New | PAPAYA GRWT OPPORTUNITY CORP | $163,800 | – | 15,287 | +100.0% | 0.03% | – | |
| New | FOUR LEAF ACQUISITION CORP | $158,944 | – | 15,152 | +100.0% | 0.03% | – | |
| Buy | CANTALOUPE INCput | $153,750 | +42.0% | 24,600 | +80.9% | 0.03% | +72.2% | |
| New | BUKIT JALIL GBL ACQUISITION | $141,934 | – | 13,740 | +100.0% | 0.03% | – | |
| New | KWESST MICRO SYSTEMS INC | $139,500 | – | 90,000 | +100.0% | 0.03% | – | |
| New | STRATASYS LTDput | $136,100 | – | 10,000 | +100.0% | 0.03% | – | |
| Sell | AMPRIUS TECHNOLOGIES INCw exp 09/14/202 | $130,041 | -38.8% | 439,138 | -0.9% | 0.03% | -25.7% | |
| Sell | NEOVOLTA INCw exp 04/01/202 | $130,805 | +3.8% | 207,627 | -9.4% | 0.03% | +23.8% | |
| Buy | LIVENT CORPnote 4.125% 7/1 | $119,404 | -17.1% | 55,000 | +22.2% | 0.02% | 0.0% | |
| ISRAEL ACQUISITIONS CORPclass a ord | $114,522 | +1.3% | 10,850 | 0.0% | 0.02% | +21.1% | ||
| FSR | FISKER INC | $116,010 | +14.3% | 18,000 | 0.0% | 0.02% | +35.3% | |
| New | AKAMAI TECHNOLOGIES INCnote 0.375% 9/0 | $110,735 | – | 106,000 | +100.0% | 0.02% | – | |
| New | BOWEN ACQUISITION CORP | $102,000 | – | 10,000 | +100.0% | 0.02% | – | |
| New | PODCASTONE INC | $80,834 | – | 42,252 | +100.0% | 0.02% | – | |
| Sell | PETVIVO HLDGS INC*w exp 08/13/202 | $74,085 | +8.0% | 224,501 | -11.3% | 0.02% | +36.4% | |
| New | DIRECT DIGITAL HOLDINGS INC | $76,460 | – | 29,867 | +100.0% | 0.02% | – | |
| Sell | JOBY AVIATION INC*w exp 08/10/202 | $72,416 | -72.1% | 58,400 | -40.4% | 0.02% | -65.1% | |
| TALKW | Buy | TALKSPACE INC*w exp 06/21/202 | $63,752 | +103.8% | 534,441 | +2.7% | 0.01% | +160.0% |
| OPHC | New | OPTIMUMBANK HLDGS INC | $65,204 | – | 20,500 | +100.0% | 0.01% | – |
| New | APPTECH PMTS CORP*w exp 12/17/202 | $61,441 | – | 83,029 | +100.0% | 0.01% | – | |
| PXSAW | Sell | PYXIS TANKERS INC*w exp 09/15/202 | $57,939 | -41.5% | 56,828 | -36.3% | 0.01% | -25.0% |
| Buy | ALLIANCE ENTERTAINMENT HOLDI | $52,170 | -35.4% | 47,000 | +56.7% | 0.01% | -15.4% | |
| Buy | AZITRA INC | $52,500 | -50.3% | 35,000 | +20.7% | 0.01% | -38.9% | |
| Sell | TINGO GROUP INCput | $51,250 | -48.0% | 50,000 | -38.6% | 0.01% | -37.5% | |
| Buy | SHARPS TECHNOLOGY INCw exp 04/13/202 | $51,986 | +127.8% | 492,755 | +198.9% | 0.01% | +150.0% | |
| Sell | FG FINANCIAL GROUP INC | $52,004 | -50.3% | 37,146 | -34.4% | 0.01% | -41.2% | |
| ZIVOW | Sell | ZIVO BIOSCIENCE INC*w exp 05/14/202 | $45,237 | -29.8% | 100,975 | -6.0% | 0.01% | -18.2% |
| Buy | KWESST MICRO SYSTEMS INCw exp 12/09/202 | $46,014 | -45.9% | 192,529 | +1.8% | 0.01% | -35.7% | |
| MIRION TECHNOLOGIES INC*w exp 10/20/202 | $40,630 | -25.8% | 30,096 | 0.0% | 0.01% | -11.1% | ||
| Sell | BULLFROG AI HLDGS INCw exp 01/18/202 | $37,809 | -23.5% | 66,718 | -3.4% | 0.01% | 0.0% | |
| New | CLEARMIND MEDICINE INC | $35,200 | – | 220,000 | +100.0% | 0.01% | – | |
| New | ASCENT SOLAR TECHNOLOGIES IN | $35,800 | – | 20,000 | +100.0% | 0.01% | – | |
| New | FOREMOST LITHIUM RES & TECHw exp 08/24/202 | $33,126 | – | 56,136 | +100.0% | 0.01% | – | |
| OSATW | Sell | NEXTPLAT CORP*w exp 06/02/202 | $35,567 | -46.0% | 61,609 | -13.6% | 0.01% | -36.4% |
| BSGM | Buy | BIOSIG TECHNOLOGIES INC | $31,449 | -23.6% | 63,856 | +93.9% | 0.01% | -14.3% |
| Sell | STRONG GLOBAL ENTMT INC | $30,578 | -45.3% | 14,561 | -22.4% | 0.01% | -33.3% | |
| GRVI | Sell | UPEXI INC | $29,754 | -25.3% | 17,199 | -2.8% | 0.01% | -14.3% |
| Sell | SAVERONE 2014 LTDw exp 05/04/202 | $26,963 | -39.2% | 198,769 | -1.2% | 0.01% | -28.6% | |
| New | EDIBLE GARDEN AG INC | $25,651 | – | 34,486 | +100.0% | 0.01% | – | |
| New | VISHAY INTERTECHNOLOGY INCnote 2.250% 6/1 | $24,083 | – | 24,000 | +100.0% | 0.01% | – | |
| Sell | ONFOLIO HOLDINGS INCw exp 01/02/202 | $25,851 | -26.8% | 193,785 | -3.5% | 0.01% | -16.7% | |
| New | BLOCK INCnote 0.125% 3/0 | $26,003 | – | 28,000 | +100.0% | 0.01% | – | |
| Buy | TENON MEDICAL INCw exp 06/16/202 | $27,103 | -19.1% | 664,292 | +107.3% | 0.01% | -16.7% | |
| Sell | CINEVERSE CORP | $17,492 | -38.8% | 14,952 | -0.3% | 0.00% | -20.0% | |
| New | TERRAN ORBITAL CORPORATION | $20,125 | – | 24,250 | +100.0% | 0.00% | – | |
| New | P3 HEALTH PARTNERS INC | $17,640 | – | 12,000 | +100.0% | 0.00% | – | |
| Buy | APOLLOMICS INCw exp 04/01/202 | $19,498 | -29.9% | 390,208 | +15.7% | 0.00% | -20.0% | |
| NAVB | New | NAVIDEA BIOPHARMACEUTICALS I | $17,491 | – | 194,997 | +100.0% | 0.00% | – |
| New | ESPERION THERAPEUTICS INC NEcall | $19,600 | – | 20,000 | +100.0% | 0.00% | – | |
| New | WORKSPORT LTD*w exp 06/01/202 | $19,565 | – | 78,291 | +100.0% | 0.00% | – | |
| Sell | BT BRANDS INC*w exp 11/12/202 | $20,476 | -19.8% | 136,459 | -0.9% | 0.00% | 0.0% | |
| Sell | BRANCHOUT FOOD INC | $21,775 | -48.5% | 10,369 | -20.2% | 0.00% | -42.9% | |
| Buy | FGI INDUSTRIES LTD*w exp 01/21/202 | $20,008 | -27.5% | 121,152 | +0.1% | 0.00% | -20.0% | |
| Sell | ASP ISOTOPES INC | $16,150 | -48.5% | 17,000 | -69.2% | 0.00% | -40.0% | |
| KNWN | New | KNOW LABS INC | $15,006 | – | 60,000 | +100.0% | 0.00% | – |
| SBEVWS | Sell | SPLASH BEVERAGE GROUP INC*w exp 06/15/202 | $17,073 | -36.3% | 170,733 | -14.1% | 0.00% | -25.0% |
| ESPR | New | ESPERION THERAPEUTICS INC NE | $12,796 | – | 13,000 | +100.0% | 0.00% | – |
| WEARABLE DEVICES LTDw exp 09/14/202 | $14,897 | -40.6% | 125,500 | 0.0% | 0.00% | -25.0% | ||
| YTEN | New | YIELD10 BIOSCIENCE INC | $13,393 | – | 40,994 | +100.0% | 0.00% | – |
| Sell | MOBILICOM LTDw exp 08/31/202 | $12,947 | -55.5% | 90,000 | -28.8% | 0.00% | -40.0% | |
| New | NXU INCcl a | $13,740 | – | 69,500 | +100.0% | 0.00% | – | |
| New | VBI VACCINES INC CDA | $9,993 | – | 15,000 | +100.0% | 0.00% | – | |
| New | AEON BIOPHARMA INCw exp 07/21/202 | $8,025 | – | 53,500 | +100.0% | 0.00% | – | |
| AINOS INCw exp 07/29/202 | $9,909 | +14.0% | 30,295 | 0.0% | 0.00% | +100.0% | ||
| BPTH | New | BIO-PATH HLDGS INC | $8,880 | – | 24,000 | +100.0% | 0.00% | – |
| CFFEW | New | CF ACQUISITION CORP VIII*w exp 03/31/202 | $8,100 | – | 32,401 | +100.0% | 0.00% | – |
| Sell | HEARTBEAM INC*w exp 10/31/202 | $11,669 | -53.6% | 58,346 | -7.1% | 0.00% | -50.0% | |
| Sell | INCEPTION GROWTH ACQUSTN LTD*w exp 10/15/202 | $8,990 | +142.4% | 89,900 | -0.1% | 0.00% | +100.0% | |
| GLUCOTRACK INC | $7,875 | -23.9% | 30,000 | 0.0% | 0.00% | 0.0% | ||
| INUV | Sell | INUVO INC | $11,683 | -62.4% | 54,595 | -61.0% | 0.00% | -60.0% |
| IVEDA SOLUTIONS INCw exp 04/01/202 | $10,821 | +1.0% | 49,413 | 0.0% | 0.00% | 0.0% | ||
| Sell | THE LION ELECTRIC COMPANYw exp 12/16/202 | $10,952 | -40.1% | 21,000 | -46.6% | 0.00% | -33.3% | |
| NCPL | New | NETCAPITAL INC | $8,200 | – | 20,000 | +100.0% | 0.00% | – |
| New | 60 DEGREES PHARMACEUTICALS Iw exp 07/12/202 | $10,330 | – | 29,515 | +100.0% | 0.00% | – | |
| STRAN & COMPANY INC*w exp 11/01/202 | $10,637 | -22.3% | 181,824 | 0.0% | 0.00% | 0.0% | ||
| Sell | CEA INDUSTRIES INC*w exp 02/11/202 | $7,621 | -37.4% | 207,084 | -10.3% | 0.00% | 0.0% | |
| VICARIOUS SURGICAL INC*w exp 08/05/202 | $8,590 | -65.1% | 112,000 | 0.0% | 0.00% | -50.0% | ||
| ZURA BIO LTDw exp 03/20/202 | $8,778 | -2.9% | 25,818 | 0.0% | 0.00% | +100.0% | ||
| Sell | MARIS TECH LTD*w exp 02/04/202 | $8,776 | -43.9% | 199,900 | -10.6% | 0.00% | -33.3% | |
| Sell | NEUROSENSE THERAPEUTICS LTD*w exp 11/09/202 | $11,040 | -28.3% | 76,109 | -2.1% | 0.00% | -33.3% | |
| Sell | PAGAYA TECHNOLOGIES LTDw exp 09/01/202 | $10,140 | -21.5% | 30,000 | -39.6% | 0.00% | 0.0% | |
| COMERA LIFE SCIENCES HLDGS Iw exp 03/15/202 | $6,510 | -20.2% | 300,000 | 0.0% | 0.00% | 0.0% | ||
| BRIDGER AEROSPACE GRP HLDGSw exp 01/24/202 | $7,308 | +42.2% | 25,200 | 0.0% | 0.00% | 0.0% | ||
| Sell | CINGULATE INC*w exp 12/03/202 | $3,944 | -38.5% | 23,905 | -21.8% | 0.00% | 0.0% | |
| New | TRANSCODE THERAPEUTICS INC | $5,027 | – | 10,000 | +100.0% | 0.00% | – | |
| MDNA | Buy | MEDICENNA THERAPEUTICS CORP | $5,898 | +22.4% | 20,000 | +100.0% | 0.00% | 0.0% |
| SEMANTIX INCw exp 08/03/202 | $4,763 | -38.8% | 102,119 | 0.0% | 0.00% | 0.0% | ||
| Sell | CISO GLOBAL INC | $4,356 | -84.9% | 31,117 | -80.6% | 0.00% | -80.0% | |
| LIXTW | Sell | LIXTE BIOTECHNOLOGY HLDGS IN*w exp 01/01/202 | $2,575 | -30.5% | 40,875 | -23.1% | 0.00% | 0.0% |
| KULR | New | KULR TECHNOLOGY GROUP INC | $4,127 | – | 11,500 | +100.0% | 0.00% | – |
| Sell | THARIMMUNE INC | $7,200 | -77.2% | 36,000 | -58.4% | 0.00% | -80.0% | |
| BENEFICIENTw exp 06/07/202 | $4,235 | -18.9% | 110,000 | 0.0% | 0.00% | 0.0% | ||
| Buy | SELINA HOSPITALITY PLCw exp 10/27/202 | $2,950 | -69.1% | 217,025 | +3.5% | 0.00% | -50.0% | |
| New | PALISADE BIO INC | $5,820 | – | 10,000 | +100.0% | 0.00% | – | |
| NORTHVIEW ACQUISITION CORP*w exp 08/02/202 | $2,877 | +29.1% | 77,770 | 0.0% | 0.00% | – | ||
| NOGIN INC | $6,107 | -59.5% | 11,500 | 0.0% | 0.00% | -66.7% | ||
| PTIXW | PROTAGENIC THERAPEUTICS INC*w exp 04/13/202 | $5,316 | -10.4% | 177,196 | 0.0% | 0.00% | 0.0% | |
| New | SEASTAR MEDICAL HOLDING CORP | $4,336 | – | 16,500 | +100.0% | 0.00% | – | |
| ACLARION INCw exp 04/21/202 | $3,222 | -2.9% | 42,957 | 0.0% | 0.00% | 0.0% | ||
| Buy | NEXALIN TECHNOLOGY INCw exp 09/15/202 | $4,435 | -75.8% | 177,383 | +6.5% | 0.00% | -66.7% | |
| Sell | SEASTAR MEDICAL HOLDING CORPw exp 10/28/202 | $4,468 | -66.6% | 316,872 | -13.4% | 0.00% | -50.0% | |
| DUNEW | Buy | DUNE ACQUISITION CORP*w exp 10/29/202 | $2,541 | +208.0% | 36,300 | +86.2% | 0.00% | – |
| Sell | PASITHEA THERAPEUTICS CORP*w exp 08/12/202 | $3,799 | -39.1% | 289,868 | -0.0% | 0.00% | 0.0% | |
| NEXGEL INC*w exp 12/01/202 | $3,050 | -29.9% | 10,000 | 0.0% | 0.00% | 0.0% | ||
| AURORA INNOVATION INC*w exp 11/03/202 | $6,400 | -36.0% | 20,000 | 0.0% | 0.00% | -50.0% | ||
| AROGO CAPITAL ACQUISITION CO*w exp 03/23/202 | $4,518 | +15.1% | 90,000 | 0.0% | 0.00% | 0.0% | ||
| Sell | NETCAPITAL INCw exp 07/12/202 | $7,417 | -51.7% | 145,287 | -2.2% | 0.00% | -66.7% | |
| ENERGEM CORP*w exp 11/15/202 | $4,275 | -27.8% | 90,000 | 0.0% | 0.00% | 0.0% | ||
| SOLIGENIX INC | $5,575 | -20.8% | 10,000 | 0.0% | 0.00% | 0.0% | ||
| FREEW | Buy | WHOLE EARTH BRANDS INC*w exp 06/25/202 | $7,065 | -21.4% | 58,874 | +31.1% | 0.00% | 0.0% |
| FAT PROJECTS ACQUISITION COR*w exp 08/31/202 | $2,911 | -27.9% | 85,000 | 0.0% | 0.00% | 0.0% | ||
| INFINT ACQUISITION CORP*w exp 99/99/999 | $3,392 | -27.9% | 90,100 | 0.0% | 0.00% | 0.0% | ||
| CLVRW | Exit | CLEVER LEAVES HOLDINGS INC*w exp 12/18/202 | $0 | – | -22,705 | -100.0% | 0.00% | – |
| OCEAN BIOMEDICAL INCw exp 02/14/202 | $1,514 | -28.8% | 10,000 | 0.0% | 0.00% | – | ||
| Sell | MOBIQUITY TECHNOLOGIES INC*w exp 12/03/202 | $122 | -87.6% | 33,057 | -14.1% | 0.00% | – | |
| AGRIW | Sell | AGRIFORCE GROWING SYSTEMS LT*w exp 02/01/202 | $575 | -74.2% | 28,879 | -49.9% | 0.00% | – |
| Sell | HARBOR CUSTOM DEVELOPMENT IN*w exp 10/04/202 | $545 | -68.2% | 55,000 | -66.7% | 0.00% | – | |
| New | ALPHA STAR ACQUISITION CORP*w exp 12/13/202 | $400 | – | 40,000 | +100.0% | 0.00% | – | |
| ANGHAMI INC*w exp 02/03/202 | $1,192 | -14.9% | 40,409 | 0.0% | 0.00% | – | ||
| FEUTUNE LIGHT ACQUISITION COw exp 06/01/202 | $468 | -18.2% | 20,796 | 0.0% | 0.00% | – | ||
| Sell | EDIBLE GARDEN AG INCw exp 04/18/202 | $767 | -22.5% | 30,426 | -42.2% | 0.00% | – | |
| DERMATA THERAPEUTICS INC*w exp 08/13/202 | $525 | -8.7% | 30,000 | 0.0% | 0.00% | – | ||
| EMBRACE CHANGE ACQUISITN CORw exp 10/25/202 | $313 | +33.8% | 12,500 | 0.0% | 0.00% | – | ||
| CTOSWS | New | CUSTOM TRUCK ONE SOURCE INC*w exp 01/01/202 | $1,199 | – | 15,000 | +100.0% | 0.00% | – |
| Sell | KAIROUS ACQUISITION CORP LTD*w exp 09/15/202 | $1,580 | +39.3% | 78,977 | -2.1% | 0.00% | – | |
| New | KEEN VISION ACQUISITION CORPw exp 03/15/202 | $1,128 | – | 20,500 | +100.0% | 0.00% | – | |
| Sell | MICROCLOUD HOLOGRAM INCw exp 01/31/202 | $2,206 | -75.5% | 55,000 | -27.4% | 0.00% | -100.0% | |
| CANNA GLOBAL ACQUISITION COR*w exp 11/30/202 | $1,586 | -24.4% | 90,100 | 0.0% | 0.00% | – | ||
| BUZZFEED INC*w exp 12/03/202 | $979 | -17.5% | 19,778 | 0.0% | 0.00% | – | ||
| Sell | BIOAFFINITY TECHNOLOGIES INCw exp 09/07/202 | $2,091 | -76.5% | 22,926 | -6.9% | 0.00% | -100.0% | |
| BANYAN ACQUISITION CORPORATI*w exp 09/30/202 | $2,214 | -17.5% | 12,200 | 0.0% | 0.00% | – | ||
| BANNIX ACQUISITION CORP*w exp 07/31/202 | $2,143 | -37.5% | 85,700 | 0.0% | 0.00% | -100.0% | ||
| SMX SEC MATTERS PLCw exp 03/07/202 | $607 | -48.2% | 53,261 | 0.0% | 0.00% | – | ||
| Sell | SPREE ACQUISITION CORP 1 LTD*w exp 12/22/202 | $885 | -41.2% | 23,576 | -50.0% | 0.00% | – | |
| HUB CYBER SECURITY LTD | $2,340 | -50.5% | 10,000 | 0.0% | 0.00% | -100.0% | ||
| HUB CYBER SECURITY LTDw exp 02/27/202 | $1,050 | -73.1% | 100,000 | 0.0% | 0.00% | -100.0% | ||
| SEQLL INC*w exp 08/31/202 | $1,406 | -68.0% | 56,000 | 0.0% | 0.00% | -100.0% | ||
| Sell | RAIL VISION LTD*w exp 03/27/202 | $1,750 | -32.7% | 50,000 | -4.2% | 0.00% | – | |
| ACCRETION ACQUISITION CORP*w exp 03/01/202 | $1,974 | -51.7% | 87,348 | 0.0% | 0.00% | -100.0% | ||
| Exit | OAK WOODS ACQUISITION CORPw exp 03/23/202 | $0 | – | -45,200 | -100.0% | 0.00% | – | |
| Exit | AMERICAN REBEL HOLDINGS INC*w exp 01/20/202 | $0 | – | -112,721 | -100.0% | 0.00% | – | |
| Exit | BRUUSH ORAL CARE INCw exp 08/03/202 | $0 | – | -15,000 | -100.0% | 0.00% | – | |
| Exit | T2 BIOSYSTEMS INC | $0 | – | -20,000 | -100.0% | 0.00% | – | |
| VSSYW | Exit | VERSUS SYSTEMS INC*w exp 12/17/202 | $0 | – | -105,470 | -100.0% | 0.00% | – |
| Exit | SHAPEWAYS HOLDINGS INC*w exp 10/31/202 | $0 | – | -14,668 | -100.0% | 0.00% | – | |
| Exit | GORILLA TECHNOLOGY GROUP INCw exp 07/13/202 | $0 | – | -20,000 | -100.0% | 0.00% | – | |
| GOEVW | Exit | CANOO INC*w exp 12/21/202 | $0 | – | -27,000 | -100.0% | 0.00% | – |
| Exit | FG MERGER CORPw exp 06/17/202 | $0 | – | -16,502 | -100.0% | 0.00% | – | |
| Exit | ALLEGO N V*w exp 03/16/202 | $0 | – | -21,800 | -100.0% | -0.00% | – | |
| DTSTW | Exit | DATA STORAGE CORP*w exp 05/13/202 | $0 | – | -57,764 | -100.0% | -0.00% | – |
| Exit | G MED INNOVATIONS HLDGS LTD | $0 | – | -33,000 | -100.0% | -0.00% | – | |
| Exit | BIGBEAR AI HLDGS INC*w exp 12/08/202 | $0 | – | -66,700 | -100.0% | -0.00% | – | |
| Exit | VOLCON INC | $0 | – | -32,000 | -100.0% | -0.00% | – | |
| Exit | SNAIL INC | $0 | – | -13,000 | -100.0% | -0.00% | – | |
| Exit | TENON MEDICAL INC | $0 | – | -97,500 | -100.0% | -0.00% | – | |
| Exit | PAGAYA TECHNOLOGIES LTDcall | $0 | – | -20,000 | -100.0% | -0.01% | – | |
| Exit | TWIN VEE POWERCATS CO | $0 | – | -17,294 | -100.0% | -0.01% | – | |
| GOEDWS | Exit | POLISHED COM INC*w exp 06/02/202 | $0 | – | -526,228 | -100.0% | -0.01% | – |
| Exit | BONE BIOLOGICS CORP | $0 | – | -27,000 | -100.0% | -0.01% | – | |
| Exit | NEPTUNE WELLNESS SOLUTIONS I | $0 | – | -250,000 | -100.0% | -0.01% | – | |
| Exit | TOUGHBUILT INDS INC | $0 | – | -167,939 | -100.0% | -0.01% | – | |
| Exit | AMC ENTMT HLDGS INCcall | $0 | – | -13,000 | -100.0% | -0.01% | – | |
| Exit | HAMMERHEAD ENERGY INCw exp 02/23/202 | $0 | – | -38,000 | -100.0% | -0.01% | – | |
| Exit | TINGO GROUP INCcall | $0 | – | -50,800 | -100.0% | -0.01% | – | |
| Exit | AIB ACQUISITION CORPORATIONclass a ord | $0 | – | -11,424 | -100.0% | -0.02% | – | |
| PUCK | Exit | GOAL ACQUISITIONS CORP | $0 | – | -12,414 | -100.0% | -0.02% | – |
| Exit | BEYOND MEAT INCput | $0 | – | -10,000 | -100.0% | -0.02% | – | |
| Exit | ROIVANT SCIENCES LTD*w exp 09/30/202 | $0 | – | -59,772 | -100.0% | -0.02% | – | |
| Exit | FUTURETECH II ACQUISITION CO | $0 | – | -14,654 | -100.0% | -0.03% | – | |
| Exit | SURGEPAYS INCput | $0 | – | -22,400 | -100.0% | -0.03% | – | |
| Exit | M3 BRIGADE ACQUISITION III | $0 | – | -17,735 | -100.0% | -0.03% | – | |
| Exit | ESH ACQUISITION CORPunit 06/13/2028 | $0 | – | -20,455 | -100.0% | -0.03% | – | |
| Exit | AURA FAT PROJS ACQUISITION Cclass a ord | $0 | – | -20,361 | -100.0% | -0.04% | – | |
| Exit | PLUTONIAN ACQUISITION CORP | $0 | – | -22,196 | -100.0% | -0.04% | – | |
| Exit | CHART INDS INCnote 1.000%11/1 | $0 | – | -85,000 | -100.0% | -0.04% | – | |
| LMBS | Exit | FIRST TR EXCHANGE-TRADED FDfst low oppt eft | $0 | – | -5,813 | -100.0% | -0.05% | – |
| IGICW | Exit | INTL GNRL INSURANCE HLDNGS L*w exp 03/17/202 | $0 | – | -480,509 | -100.0% | -0.05% | – |
| Exit | AIMFINITY INVESTMENT CORP Iunit 04/21/2027 | $0 | – | -29,700 | -100.0% | -0.05% | – | |
| Exit | JPMORGAN CHASE & COcall | $0 | – | -3,000 | -100.0% | -0.07% | – | |
| Exit | FG MERGER CORP | $0 | – | -41,421 | -100.0% | -0.07% | – | |
| Exit | MOBIV ACQUISITION CORP | $0 | – | -44,250 | -100.0% | -0.08% | – | |
| Exit | PRIME NO ACQUISITION I CORP | $0 | – | -46,800 | -100.0% | -0.08% | – | |
| Exit | GLOBAL BLOCKCHAIN ACQUI CORP | $0 | – | -48,078 | -100.0% | -0.08% | – | |
| Exit | CARVANA COcall | $0 | – | -20,000 | -100.0% | -0.09% | – | |
| ADER | Exit | 26 CAPITAL ACQUISITION CORP | $0 | – | -49,934 | -100.0% | -0.09% | – |
| Exit | AMC ENTMT HLDGS INCput | $0 | – | -125,700 | -100.0% | -0.09% | – | |
| Exit | OXBRIDGE ACQUISITION CORP | $0 | – | -54,902 | -100.0% | -0.10% | – | |
| Exit | MICROSOFT CORPput | $0 | – | -2,000 | -100.0% | -0.11% | – | |
| Exit | INTEGRATED RAIL AND RES ACQ | $0 | – | -64,642 | -100.0% | -0.12% | – | |
| Exit | HUDSON ACQUISITION I CORP | $0 | – | -69,800 | -100.0% | -0.12% | – | |
| Exit | INVESCO QQQ TRcall | $0 | – | -3,000 | -100.0% | -0.18% | – | |
| Exit | SPDR S&P 500 ETF TRcall | $0 | – | -3,000 | -100.0% | -0.22% | – | |
| Exit | MICROSOFT CORPcall | $0 | – | -5,000 | -100.0% | -0.28% | – | |
| Exit | MCDONALDS CORPput | $0 | – | -6,000 | -100.0% | -0.30% | – | |
| Exit | ARK ETF TRput | $0 | – | -45,000 | -100.0% | -0.33% | – | |
| Exit | HOME DEPOT INCcall | $0 | – | -9,000 | -100.0% | -0.46% | – | |
| Exit | ISHARES TRput | $0 | – | -26,000 | -100.0% | -0.81% | – | |
| Exit | FTI CONSULTING INCnote 2.000% 8/1 | $0 | – | -4,665,000 | -100.0% | -1.45% | – | |
| Exit | MERCADOLIBRE INCnote 2.000% 8/1 | $0 | – | -6,570,000 | -100.0% | -2.98% | – | |
| Exit | TERADYNE INCnote 1.250%12/1 | $0 | – | -7,612,000 | -100.0% | -4.47% | – | |
| Exit | DEXCOM INCnote 0.750%12/0 | $0 | – | -12,694,000 | -100.0% | -6.58% | – |
Original filings
The following EDGAR filing(s) were analyzed to create this report:
- View 13F-HR filed 2023-11-13
Top long-term holdings
| Name | Quarters owned | Latest quarter owned | Max weighting |
|---|---|---|---|
| NICE SYS INC | 12 | Q3 2023 | 2.9% |
| NEW ENGLAND RLTY ASSOC LTD P | 12 | Q3 2023 | 0.3% |
| PYXIS TANKERS INC | 12 | Q3 2023 | 0.1% |
| KBR INC | 11 | Q3 2023 | 7.5% |
| RH | 11 | Q3 2023 | 2.3% |
| ETSY INC | 11 | Q3 2023 | 1.9% |
| AKAMAI TECHNOLOGIES INC | 11 | Q3 2023 | 0.8% |
| INTL GNRL INSURANCE HLDNGS L | 11 | Q2 2023 | 0.2% |
| OPTIMUMBANK HLDGS INC | 11 | Q3 2023 | 0.1% |
| ON SEMICONDUCTOR CORP | 10 | Q3 2023 | 10.2% |
View Warberg Asset Management LLC's complete holdings history.
Latest significant ownerships (13-D/G)
| Filed | Shares | Percentage | |
|---|---|---|---|
| Rosehill Resources Inc. | February 14, 2019 | 405,310 | 2.9% |
| HC2 Holdings, Inc.Sold out | January 05, 2015 | 0 | 0.0% |
| PTGi HOLDING, INC. | February 14, 2014 | 192,495,686 | 12.0% |
View Warberg Asset Management LLC's complete significant-ownership history.
Latest filings
| Type | Filed |
|---|---|
| 13F-HR | 2024-02-07 |
| 13F-HR | 2023-11-13 |
| 13F-HR | 2023-08-09 |
| 13F-HR | 2023-05-15 |
| 13F-HR | 2023-02-13 |
| 13F-HR | 2022-11-07 |
| 13F-HR | 2022-08-11 |
| 13F-HR/A | 2022-05-13 |
| 13F-HR | 2022-05-13 |
| 13F-HR | 2022-02-14 |
View Warberg Asset Management LLC's complete filings history.
All filings
- Holdings (13F-HR)
- Significant ownership (13-D/G)
- Insider transactions (4, 5, 6)
- Events (8-K)
- Shareholder votes (proxy)
View complete filings history.