Warberg Asset Management LLC - Q4 2020 holdings

Add to watchlist

$408 Million is the total value of Warberg Asset Management LLC's 157 reported holdings in Q4 2020. The portfolio turnover from Q3 2020 to Q4 2020 was - .

All

			Value		Shares		↓ Weighting
SPY	New	SPDR S&P 500 ETF TRput	$53,839,000	–	144,000	+100.0%	13.21%	–
	New	TESLA INCnote 2.375% 3/1	$39,688,000	–	3,715,000	+100.0%	9.74%	–
	New	HUBSPOT INCnote 0.250% 6/0	$26,054,000	–	6,244,000	+100.0%	6.39%	–
	New	FIVE9 INCnote 0.125% 5/0	$21,495,000	–	5,111,000	+100.0%	5.27%	–
	New	TESLA INCnote 2.000% 5/1	$17,695,000	–	1,566,000	+100.0%	4.34%	–
	New	INPHI CORPnote 0.750% 9/0	$14,432,000	–	5,084,000	+100.0%	3.54%	–
	New	INSULET CORPnote 1.375%11/1	$12,832,000	–	4,684,000	+100.0%	3.15%	–
	New	TERADYNE INCnote 1.250%12/1	$12,712,000	–	3,355,000	+100.0%	3.12%	–
	New	SEA LTDnote 1.000%12/0	$11,912,000	–	3,000,000	+100.0%	2.92%	–
	New	NICE SYS INCnote 1.250% 1/1	$11,855,000	–	3,495,000	+100.0%	2.91%	–
	New	MICROCHIP TECHNOLOGY INC.note 1.625% 2/1	$11,857,000	–	5,615,000	+100.0%	2.91%	–
	New	SQUARE INCnote 0.500% 5/1	$10,201,000	–	3,630,000	+100.0%	2.50%	–
	New	MERCADOLIBRE INCnote 2.000% 8/1	$7,608,000	–	2,000,000	+100.0%	1.87%	–
	New	HANNON ARMSTRONG SUST INFR Cnote 4.125% 9/0	$7,495,000	–	3,199,000	+100.0%	1.84%	–
	New	COUPA SOFTWARE INCnote 0.125% 6/1	$7,490,000	–	3,445,000	+100.0%	1.84%	–
	New	ZILLOW GROUP INCnote 0.750% 9/0	$7,484,000	–	2,500,000	+100.0%	1.84%	–
	New	WAYFAIR INCnote 1.125%11/0	$7,244,000	–	3,608,000	+100.0%	1.78%	–
TSLA	New	TESLA INCput	$7,057,000	–	10,000	+100.0%	1.73%	–
	New	RHnote 6/1	$6,892,000	–	2,937,000	+100.0%	1.69%	–
	New	DEXCOM INCnote 0.750%12/0	$5,703,000	–	2,504,000	+100.0%	1.40%	–
	New	J2 GLOBAL INCnote 3.250% 6/1	$5,574,000	–	3,807,000	+100.0%	1.37%	–
	New	CHEGG INCnote 0.250% 5/1	$5,053,000	–	1,512,000	+100.0%	1.24%	–
JPM	New	JPMORGAN CHASE & COcall	$4,447,000	–	35,000	+100.0%	1.09%	–
CCL	New	CARNIVAL CORPput	$3,754,000	–	173,300	+100.0%	0.92%	–
TSLA	New	TESLA INCcall	$3,528,000	–	5,000	+100.0%	0.87%	–
	New	GSV CAP CORPnote 4.750% 3/2	$3,389,000	–	2,400,000	+100.0%	0.83%	–
	New	WIX COM LTDnote 7/0	$3,306,000	–	1,790,000	+100.0%	0.81%	–
TLT	New	ISHARES TRput	$3,155,000	–	20,000	+100.0%	0.77%	–
QQQ	New	INVESCO QQQ TRcall	$3,137,000	–	10,000	+100.0%	0.77%	–
	New	CHEGG INCnote 0.125% 3/1	$3,138,000	–	1,725,000	+100.0%	0.77%	–
XLF	New	SELECT SECTOR SPDR TRput	$2,948,000	–	100,000	+100.0%	0.72%	–
IIPR	New	INNOVATIVE INDL PPTYS INCput	$2,948,000	–	16,100	+100.0%	0.72%	–
IWM	New	ISHARES TRput	$2,941,000	–	15,000	+100.0%	0.72%	–
GDX	New	VANECK VECTORS ETF TRcall	$2,882,000	–	80,000	+100.0%	0.71%	–
BLNK	New	BLINK CHARGING COput	$2,779,000	–	65,000	+100.0%	0.68%	–
NEEPRO	New	NEXTERA ENERGY INCunit 09/01/2022s	$2,657,000	–	44,998	+100.0%	0.65%	–
CCL	New	CARNIVAL CORPunit 99/99/9999	$2,643,000	–	122,000	+100.0%	0.65%	–
	New	MONGODB INCnote 0.750% 6/1	$2,460,000	–	468,000	+100.0%	0.60%	–
NBR	New	NABORS INDUSTRIES LTDcall	$2,329,000	–	40,000	+100.0%	0.57%	–
QQQ	New	INVESCO QQQ TRput	$2,196,000	–	7,000	+100.0%	0.54%	–
FB	New	FACEBOOK INCput	$1,912,000	–	7,000	+100.0%	0.47%	–
GRWG	New	GROWGENERATION CORPput	$1,810,000	–	45,000	+100.0%	0.44%	–
SLV	New	ISHARES SILVER TRcall	$1,754,000	–	71,400	+100.0%	0.43%	–
NCLH	New	NORWEGIAN CRUISE LINE HLDG L	$1,437,000	–	56,500	+100.0%	0.35%	–
NCLH	New	NORWEGIAN CRUISE LINE HLDG Lput	$1,439,000	–	56,600	+100.0%	0.35%	–
AAPL	New	APPLE INCput	$1,327,000	–	10,000	+100.0%	0.33%	–
AAPL	New	APPLE INCcall	$1,327,000	–	10,000	+100.0%	0.33%	–
VXX	New	BARCLAYS BANK PLCcall	$1,259,000	–	75,000	+100.0%	0.31%	–
SSSS	New	SURO CAPITAL CORPput	$1,253,000	–	95,700	+100.0%	0.31%	–
INSG	New	INSEEGO CORPput	$1,132,000	–	73,200	+100.0%	0.28%	–
PSTH	New	PERSHING SQUARE TONTINE HLDG	$1,106,000	–	39,900	+100.0%	0.27%	–
	New	RAPID7 INCnote 1.250% 8/0	$1,101,000	–	505,000	+100.0%	0.27%	–
INSG	New	INSEEGO CORP	$1,026,000	–	66,300	+100.0%	0.25%	–
PSTH	New	PERSHING SQUARE TONTINE HLDGput	$1,017,000	–	36,700	+100.0%	0.25%	–
	New	NUANCE COMMUNICATIONS INCdebt 1.500%11/0	$986,000	–	2,781,000	+100.0%	0.24%	–
	New	NATIONAL HEALTH INVS INCnote 3.250% 4/0	$939,000	–	880,000	+100.0%	0.23%	–
TMV	New	DIREXION SHS ETF TRcall	$810,000	–	15,000	+100.0%	0.20%	–
IEAWW	New	INFRA AND ENERGY ALTRNTIVE I*w exp 05/20/202	$804,000	–	679,331	+100.0%	0.20%	–
	New	ETSY INCnote 3/0	$744,000	–	1,656,000	+100.0%	0.18%	–
	New	ARBOR REALTY TRUST INCnote 5.250% 7/0	$639,000	–	1,000,000	+100.0%	0.16%	–
NIO	New	NIO INCput	$634,000	–	13,000	+100.0%	0.16%	–
	New	ILLUMINA INCnote 0.500% 6/1	$625,000	–	427,000	+100.0%	0.15%	–
ARKK	New	ARK ETF TRput	$622,000	–	5,000	+100.0%	0.15%	–
TWNKW	New	HOSTESS BRANDS INC*w exp 11/04/202	$610,000	–	1,093,437	+100.0%	0.15%	–
	New	PALO ALTO NETWORKS INCnote 0.750% 7/0	$605,000	–	428,000	+100.0%	0.15%	–
GRWG	New	GROWGENERATION CORP	$603,000	–	15,000	+100.0%	0.15%	–
SAVE	New	SPIRIT AIRLS INCcall	$587,000	–	24,000	+100.0%	0.14%	–
NKLA	New	NIKOLA CORPput	$549,000	–	36,000	+100.0%	0.14%	–
	New	WORKDAY INCnote 0.250%10/0	$544,000	–	325,000	+100.0%	0.13%	–
GFLU	New	GFL ENVIRONMENTAL INCunit 99/99/9999t	$536,000	–	7,638	+100.0%	0.13%	–
PAAS	New	PAN AMERN SILVER CORPcall	$518,000	–	15,000	+100.0%	0.13%	–
VLDR	New	VELODYNE LIDAR INCput	$454,000	–	19,900	+100.0%	0.11%	–
UTZ	New	UTZ BRANDS INCput	$419,000	–	19,000	+100.0%	0.10%	–
	New	SAILPOINT TECHNOLOGIES HLDGSnote 0.125% 9/1	$389,000	–	200,000	+100.0%	0.10%	–
ALTGWS	New	ALTA EQUIPMENT GROUP INC*w exp 02/14/202	$356,000	–	319,800	+100.0%	0.09%	–
VLDR	New	VELODYNE LIDAR INC	$328,000	–	14,375	+100.0%	0.08%	–
GOTU	New	GSX TECHEDU INCput	$310,000	–	6,000	+100.0%	0.08%	–
SKT	New	TANGER FACTORY OUTLET CTRS Icall	$289,000	–	29,000	+100.0%	0.07%	–
	New	RINGCENTRAL INCnote 3/1	$260,000	–	56,000	+100.0%	0.06%	–
VXX	New	BARCLAYS BANK PLCipth sr b s&p	$252,000	–	15,000	+100.0%	0.06%	–
IGICW	New	INTL GNRL INSURANCE HLDNGS L*w exp 03/17/202	$249,000	–	630,521	+100.0%	0.06%	–
BDX	New	BECTON DICKINSON & CO	$245,000	–	979	+100.0%	0.06%	–
NHIC	New	NEWHOLD INVESTMENT CORP	$239,000	–	23,900	+100.0%	0.06%	–
PSAC	New	PROPERTY SOLUTIONS ACQUISITI	$241,000	–	24,075	+100.0%	0.06%	–
WSC	New	WILLSCOT MOBIL MINI HLDNG COput	$232,000	–	10,000	+100.0%	0.06%	–
NEN	New	NEW ENGLAND RLTY ASSOC LTD Pdepositry rcpt	$230,000	–	4,586	+100.0%	0.06%	–
VKTXW	New	VIKING THERAPEUTICS INC*w exp 04/13/202	$219,000	–	163,536	+100.0%	0.05%	–
SA	New	SEABRIDGE GOLD INCcall	$211,000	–	10,000	+100.0%	0.05%	–
	New	PINDUODUO INCnote 10/0	$208,000	–	50,000	+100.0%	0.05%	–
TTCF	New	TATTOOED CHEF INCput	$206,000	–	9,000	+100.0%	0.05%	–
VMAC	New	VISTAS MEDIA ACQUISITION CO	$202,000	–	20,000	+100.0%	0.05%	–
MLAC	New	MALACCA STRAITS ACQUISITION	$192,000	–	19,400	+100.0%	0.05%	–
F	New	FORD MTR CO DELcall	$176,000	–	20,000	+100.0%	0.04%	–
RIOT	New	RIOT BLOCKCHAIN INCput	$170,000	–	10,000	+100.0%	0.04%	–
FSR	New	FISKER INCcall	$161,000	–	11,000	+100.0%	0.04%	–
CHAQ	New	CHARDAN HEALTHCR ACQSTN 2 CO	$159,000	–	15,577	+100.0%	0.04%	–
	New	INSEEGO CORPnote 3.250% 5/0	$149,000	–	110,000	+100.0%	0.04%	–
NG	New	NOVAGOLD RES INCcall	$152,000	–	15,700	+100.0%	0.04%	–
TTCFW	New	TATTOOED CHEF INC*w exp 10/15/202	$151,000	–	40,112	+100.0%	0.04%	–
FSRWS	New	FISKER INC*w exp 12/01/202	$148,000	–	116,000	+100.0%	0.04%	–
VIH	New	VPC IMPACT ACQUISITION HLDNG	$145,000	–	14,400	+100.0%	0.04%	–
ITAC	New	INDUSTRIAL TECH ACQU INC	$142,000	–	14,000	+100.0%	0.04%	–
MAAC	New	MONTES ARCHIMEDES ACQUISITIO	$141,000	–	13,900	+100.0%	0.04%	–
DWINU	New	DELWINDS INS ACQUISITION CORunit 99/99/9999	$144,000	–	14,000	+100.0%	0.04%	–
IGAC	New	IG ACQUISITION CORP	$130,000	–	12,800	+100.0%	0.03%	–
AHAC	New	ALPHA HEALTHCARE ACQUISTN COcl a	$132,000	–	12,999	+100.0%	0.03%	–
TMTS	New	SPARTACUS ACQUISITION CORPcl a	$127,000	–	12,600	+100.0%	0.03%	–
OPHC	New	OPTIMUMBANK HLDGS INC	$122,000	–	36,213	+100.0%	0.03%	–
ASAQ	New	ATLANTIC AVE ACQUISITION COR	$124,000	–	12,350	+100.0%	0.03%	–
NFHWS	New	NEW FRONTIER HEALTH CORP*w exp 11/30/202	$118,000	–	54,313	+100.0%	0.03%	–
ARBGU	New	AEQUI ACQUISITION CORPunit 11/30/2027	$119,000	–	11,777	+100.0%	0.03%	–
CODX	New	CO-DIAGNOSTICS INCput	$112,000	–	12,000	+100.0%	0.03%	–
PTK	New	PTK ACQUISITION CORP	$112,000	–	11,000	+100.0%	0.03%	–
LCAP	New	LIONHEART ACQUISITION CORP I	$107,000	–	10,610	+100.0%	0.03%	–
MUX	New	MCEWEN MNG INC	$107,000	–	108,750	+100.0%	0.03%	–
HYMC	New	HYCROFT MINING HOLDING CORP	$104,000	–	13,282	+100.0%	0.03%	–
ZNTEU	New	ZANITE ACQUISITION CORPunit 10/08/2025	$105,000	–	10,000	+100.0%	0.03%	–
TWND	New	TAILWIND ACQUISITION CORP	$106,000	–	10,160	+100.0%	0.03%	–
LCY	New	LANDCADIA HOLDINGS III INC	$106,000	–	10,143	+100.0%	0.03%	–
ONCT	New	ONCTERNAL THERAPEUTICS INCcall	$103,000	–	21,000	+100.0%	0.02%	–
DMSWS	New	DIGITAL MEDIA SOLUTIONS INC*w exp 07/15/202	$98,000	–	126,637	+100.0%	0.02%	–
SOLOW	New	ELECTRAMECCANICA VEHS CORP*w exp 08/03/202	$69,000	–	18,205	+100.0%	0.02%	–
BXRX	New	BAUDAX BIO INCcall	$64,000	–	63,000	+100.0%	0.02%	–
HCHC	New	HC2 HLDGS INCcall	$65,000	–	20,000	+100.0%	0.02%	–
SMTS	New	SIERRA METALS INC	$60,000	–	18,000	+100.0%	0.02%	–
GCMGW	New	GCM GROSVENOR INC*w exp 11/17/202	$60,000	–	189,714	+100.0%	0.02%	–
HSTO	New	HISTOGEN INC	$56,000	–	74,000	+100.0%	0.01%	–
YCBD	New	CBDMD INC	$59,000	–	20,000	+100.0%	0.01%	–
	New	DOCUSIGN INCnote 0.500% 9/1	$50,000	–	16,000	+100.0%	0.01%	–
FATBW	New	FAT BRANDS INC*w exp 06/30/202	$48,000	–	17,900	+100.0%	0.01%	–
APWS	New	AMPCO-PITTSBURG CORP*w exp 08/01/202	$40,000	–	92,900	+100.0%	0.01%	–
VRMEW	New	VERIFYME INC*w exp 06/22/202	$41,000	–	40,107	+100.0%	0.01%	–
POWW	New	AMMO INC	$33,000	–	10,000	+100.0%	0.01%	–
NMTR	New	9 METERS BIOPHARMA INC	$27,000	–	31,888	+100.0%	0.01%	–
BNTC	New	BENITEC BIOPHARMA INC	$30,000	–	10,000	+100.0%	0.01%	–
BHTG	New	BIOHITECH GLOBAL INC	$27,000	–	24,000	+100.0%	0.01%	–
PSACW	New	PROPERTY SOLUTIONS ACQUISITI*w exp 03/20/202	$23,000	–	21,740	+100.0%	0.01%	–
ENTXW	New	ENTERA BIO LTD*w exp 07/02/202	$25,000	–	288,725	+100.0%	0.01%	–
MDGS	New	MEDIGUS LTDsponsored ads	$25,000	–	13,000	+100.0%	0.01%	–
CNSP	New	CNS PHARMACEUTICALS INC	$25,000	–	14,000	+100.0%	0.01%	–
IMACW	New	IMAC HLDGS INC*w exp 02/12/202	$24,000	–	105,360	+100.0%	0.01%	–
GSMGW	New	GLRY STR NW MDIA GRUP HLDG L*w exp 02/13/202	$23,000	–	280,000	+100.0%	0.01%	–
CTXR	New	CITIUS PHARMACEUTICALS INC	$20,000	–	20,000	+100.0%	0.01%	–
VMACW	New	VISTAS MEDIA ACQUISITION CO*w exp 08/01/202	$15,000	–	17,740	+100.0%	0.00%	–
NDRA	New	ENDRA LIFE SCIENCES INC	$15,000	–	20,374	+100.0%	0.00%	–
DSKEW	New	DASEKE INC*w exp 02/27/202	$17,000	–	915,000	+100.0%	0.00%	–
	New	LIBERTY MEDIA CORP DELdeb 3.500% 1/1	$11,000	–	11,968	+100.0%	0.00%	–
CRTDW	New	CREATD INC*w exp 09/15/202	$12,000	–	12,600	+100.0%	0.00%	–
GOVXW	New	GEOVAX LABS INC*w exp 09/29/202	$14,000	–	26,975	+100.0%	0.00%	–
LIXTW	New	LIXTE BIOTECHNOLOGY HLDGS IN*w exp 01/01/202	$12,000	–	13,001	+100.0%	0.00%	–
CLNNW	New	CLENE INC*w exp 11/07/202	$7,000	–	14,000	+100.0%	0.00%	–
MDGSW	New	MEDIGUS LTD*w exp 07/23/202	$10,000	–	54,000	+100.0%	0.00%	–
ARTLW	New	ARTELO BIOSCIENCES INC*w exp 06/25/202	$4,000	–	16,403	+100.0%	0.00%	–
GBWS	New	GLOBAL BLUE GROUP HOLDING AG*w exp 08/28/202	$4,000	–	15,450	+100.0%	0.00%	–
HYMCW	New	HYCROFT MINING HOLDING CORP*w exp 02/12/202	$4,000	–	73,155	+100.0%	0.00%	–
PXSAW	New	PYXIS TANKERS INC*w exp 09/15/202	$3,000	–	21,828	+100.0%	0.00%	–
BRMKWS	New	BROADMARK RLTY CAP INC*w exp 11/15/202	$1,000	–	10,000	+100.0%	0.00%	–

Original filings

The following EDGAR filing(s) were analyzed to create this report:

View 13F-HR filed 2021-02-16

Signatures

The EDGAR filing(s) were signed by:

Daniel I. Warsh — Managing Member

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)

Warberg Asset Management LLC Q4 2020 significant holdings filed using form 13D/G when ownership exceeds 5% of a company's total stock issue.
	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

View complete filings history.

Compare quarters

Export Warberg Asset Management LLC's holdings