$301 Million is the total value of Warberg Asset Management LLC's 153 reported holdings in Q1 2021. The portfolio turnover from Q4 2020 to Q1 2021 was 230.0% .
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| SPY | Buy | SPDR S&P 500 ETF TRput | $61,431,000 | +14.1% | 155,000 | +7.6% | 20.41% | +54.5% |
| Buy | INSULET CORPnote 1.375%11/1 | $13,302,000 | +3.7% | 4,747,000 | +1.3% | 4.42% | +40.4% | |
| Buy | J2 GLOBAL INCnote 3.250% 6/1 | $10,430,000 | +87.1% | 5,887,000 | +54.6% | 3.46% | +153.3% | |
| Buy | RHnote 6/1 | $10,344,000 | +50.1% | 3,354,000 | +14.2% | 3.44% | +103.2% | |
| Buy | WIX COM LTDnote 7/0 | $10,122,000 | +206.2% | 5,025,000 | +180.7% | 3.36% | +314.5% | |
| Buy | HANNON ARMSTRONG SUST INFR Cnote 4.125% 9/0 | $8,458,000 | +12.8% | 4,105,000 | +28.3% | 2.81% | +52.8% | |
| New | MICRON TECHNOLOGY INCnote 3.125% 5/0 | $7,397,000 | – | 840,000 | +100.0% | 2.46% | – | |
| Buy | ILLUMINA INCnote 0.500% 6/1 | $6,661,000 | +965.8% | 4,415,000 | +934.0% | 2.21% | +1346.4% | |
| Buy | DEXCOM INCnote 0.750%12/0 | $6,354,000 | +11.4% | 2,873,000 | +14.7% | 2.11% | +50.9% | |
| New | ETSY INCnote 0.125%10/0 | $4,759,000 | – | 2,008,000 | +100.0% | 1.58% | – | |
| Buy | PALO ALTO NETWORKS INCnote 0.750% 7/0 | $4,548,000 | +651.7% | 3,439,000 | +703.5% | 1.51% | +920.9% | |
| New | AMICUS THERAPEUTICS INCnote 3.000%12/1 | $4,520,000 | – | 2,800,000 | +100.0% | 1.50% | – | |
| New | BANDWIDTH INCnote 0.250% 3/0 | $4,430,000 | – | 2,900,000 | +100.0% | 1.47% | – | |
| New | PENN NATL GAMING INCnote 2.750% 5/1 | $4,359,000 | – | 965,000 | +100.0% | 1.45% | – | |
| New | RHnote 9/1 | $4,240,000 | – | 1,500,000 | +100.0% | 1.41% | – | |
| New | MICROCHIP TECHNOLOGY INC.note 2.250% 2/1 | $4,203,000 | – | 1,830,000 | +100.0% | 1.40% | – | |
| IEAWW | Buy | INFRA AND ENERGY ALTRNTIVE I*w exp 03/27/202 | $3,698,000 | +360.0% | 1,089,676 | +60.4% | 1.23% | +523.4% |
| TLT | Buy | ISHARES TRput | $3,522,000 | +11.6% | 26,000 | +30.0% | 1.17% | +51.2% |
| New | SOUTHWEST AIRLS COnote 1.250% 5/0 | $3,441,000 | – | 2,000,000 | +100.0% | 1.14% | – | |
| New | NUANCE COMMUNICATIONS INCnote 1.250% 4/0 | $3,347,000 | – | 1,468,000 | +100.0% | 1.11% | – | |
| New | Q2 HLDGS INCnote 0.750% 2/1 | $3,302,000 | – | 1,846,000 | +100.0% | 1.10% | – | |
| WSC | Buy | WILLSCOT MOBIL MINI HLDNG COput | $3,136,000 | +1251.7% | 113,000 | +1030.0% | 1.04% | +1728.1% |
| TWNKW | Buy | HOSTESS BRANDS INC*w exp 11/04/202 | $2,450,000 | +301.6% | 1,689,821 | +54.5% | 0.81% | +442.7% |
| New | KNOWLES CORPnote 3.250%11/0 | $2,398,000 | – | 2,000,000 | +100.0% | 0.80% | – | |
| XOM | New | EXXON MOBIL CORPcall | $2,233,000 | – | 40,000 | +100.0% | 0.74% | – |
| New | NUANCE COMMUNICATIONS INCdbcv 1.000%12/1 | $2,041,000 | – | 1,102,000 | +100.0% | 0.68% | – | |
| SPY | New | SPDR S&P 500 ETF TRcall | $1,982,000 | – | 5,000 | +100.0% | 0.66% | – |
| Buy | MONGODB INCnote 0.750% 6/1 | $1,870,000 | -24.0% | 478,000 | +2.1% | 0.62% | +2.8% | |
| New | BLACKLINE INCnote 0.125% 8/0 | $1,863,000 | – | 1,175,000 | +100.0% | 0.62% | – | |
| New | ZYNGA INCnote 0.250% 6/0 | $1,809,000 | – | 1,325,000 | +100.0% | 0.60% | – | |
| New | KBR INCnote 2.500%11/0 | $1,736,000 | – | 1,100,000 | +100.0% | 0.58% | – | |
| New | HCI GROUP INCnote 4.250% 3/0 | $1,546,000 | – | 1,180,000 | +100.0% | 0.51% | – | |
| GCMGW | Buy | GCM GROSVENOR INC*w exp 11/17/202 | $1,489,000 | +2381.7% | 1,251,093 | +559.5% | 0.50% | +3200.0% |
| New | ARBOR REALTY TRUST INCnote 5.250% 7/0 | $1,296,000 | – | 1,000,000 | +100.0% | 0.43% | – | |
| SJIU | New | SOUTH JERSEY INDS INCunit 99/99/9999 | $1,279,000 | – | 33,225 | +100.0% | 0.42% | – |
| SSSS | New | SURO CAPITAL CORP | $1,154,000 | – | 85,199 | +100.0% | 0.38% | – |
| ARKK | Buy | ARK ETF TRput | $960,000 | +54.3% | 8,000 | +60.0% | 0.32% | +108.5% |
| Buy | WORKDAY INCnote 0.250%10/0 | $915,000 | +68.2% | 531,000 | +63.4% | 0.30% | +128.6% | |
| PAAS | Buy | PAN AMERN SILVER CORPcall | $901,000 | +73.9% | 30,000 | +100.0% | 0.30% | +135.4% |
| DASH | New | DOORDASH INCput | $787,000 | – | 6,000 | +100.0% | 0.26% | – |
| NKLA | Buy | NIKOLA CORPput | $778,000 | +41.7% | 56,000 | +55.6% | 0.26% | +91.1% |
| New | FTI CONSULTING INCnote 2.000% 8/1 | $735,000 | – | 501,000 | +100.0% | 0.24% | – | |
| TLT | New | ISHARES TR20 yr tr bd etf | $677,000 | – | 5,000 | +100.0% | 0.22% | – |
| CHNGU | New | CHANGE HEALTHCARE INCunit 99/99/9999 | $645,000 | – | 8,616 | +100.0% | 0.21% | – |
| IGICW | Buy | INTL GNRL INSURANCE HLDNGS L*w exp 03/17/202 | $570,000 | +128.9% | 640,718 | +1.6% | 0.19% | +209.8% |
| GME | New | GAMESTOP CORP NEWput | $569,000 | – | 3,000 | +100.0% | 0.19% | – |
| New | NEUROCRINE BIOSCIENCES INCnote 2.250% 5/1 | $562,000 | – | 414,000 | +100.0% | 0.19% | – | |
| DMSWS | Buy | DIGITAL MEDIA SOLUTIONS INC*w exp 07/15/202 | $485,000 | +394.9% | 297,307 | +134.8% | 0.16% | +570.8% |
| SPCX | New | COLLABORATIVE INVESTMNT SERput | $485,000 | – | 17,000 | +100.0% | 0.16% | – |
| New | REPLIGEN CORPnote 0.375% 7/1 | $441,000 | – | 250,000 | +100.0% | 0.15% | – | |
| New | AKAMAI TECHNOLOGIES INCnote 0.125% 5/0 | $424,000 | – | 350,000 | +100.0% | 0.14% | – | |
| VUZI | New | VUZIX CORPput | $382,000 | – | 15,000 | +100.0% | 0.13% | – |
| CLOV | New | CLOVER HEALTH INVESTMENTS COput | $376,000 | – | 49,800 | +100.0% | 0.12% | – |
| New | SYNAPTICS INCnote 0.500% 6/1 | $369,000 | – | 200,000 | +100.0% | 0.12% | – | |
| DSKEW | Buy | DASEKE INC*w exp 02/27/202 | $342,000 | +1911.8% | 1,006,389 | +10.0% | 0.11% | +2750.0% |
| SDS | New | PROSHARES TRultrashrt s&p500 | $323,000 | – | 30,000 | +100.0% | 0.11% | – |
| New | Q2 HLDGS INCnote 0.750% 6/0 | $315,000 | – | 242,000 | +100.0% | 0.10% | – | |
| NEN | Buy | NEW ENGLAND RLTY ASSOC LTD Pdepositry rcpt | $307,000 | +33.5% | 5,586 | +21.8% | 0.10% | +82.1% |
| New | ZILLOW GROUP INCnote 1.500% 7/0 | $255,000 | – | 151,000 | +100.0% | 0.08% | – | |
| GOEVW | New | CANOO INC*w exp 12/21/202 | $249,000 | – | 88,000 | +100.0% | 0.08% | – |
| New | WAYFAIR INCnote 0.375% 9/0 | $233,000 | – | 77,000 | +100.0% | 0.08% | – | |
| Buy | INSEEGO CORPnote 3.250% 5/0 | $223,000 | +49.7% | 210,000 | +90.9% | 0.07% | +100.0% | |
| AESC | New | AES CORPunit 99/99/9999 | $217,000 | – | 2,097 | +100.0% | 0.07% | – |
| New | ALTAIR ENGR INCnote 0.250% 6/0 | $217,000 | – | 150,000 | +100.0% | 0.07% | – | |
| New | VIAVI SOLUTIONS INCnote 1.000% 3/0 | $198,000 | – | 150,000 | +100.0% | 0.07% | – | |
| NBSTU | New | NEWBURY STREET ACQUISITN CORunit 04/30/2028 | $198,000 | – | 20,000 | +100.0% | 0.07% | – |
| NG | Buy | NOVAGOLD RES INCcall | $184,000 | +21.1% | 21,000 | +33.8% | 0.06% | +64.9% |
| BFIIW | New | BURGERFI INTERNATIONAL INC*w exp 12/16/202 | $181,000 | – | 46,661 | +100.0% | 0.06% | – |
| PTOCU | New | PINE TECHNOLOGY ACQUISITN COunit 03/31/2028 | $174,000 | – | 17,500 | +100.0% | 0.06% | – |
| OPHC | Buy | OPTIMUMBANK HLDGS INC | $165,000 | +35.2% | 42,623 | +17.7% | 0.06% | +83.3% |
| RCLFU | New | ROSECLIFF ACQUISITION CORP Iunit 99/99/9999 | $159,000 | – | 16,076 | +100.0% | 0.05% | – |
| PSAGU | New | PROPERTY SOLUTIONS ACQUISITIunit 03/01/2026 | $157,000 | – | 16,000 | +100.0% | 0.05% | – |
| AMAOU | New | AMERICAN ACQUISITION OPPT INunit 05/28/2026 | $150,000 | – | 15,000 | +100.0% | 0.05% | – |
| GAPAU | New | G&P ACQUISITION CORPunit 02/28/2028 | $149,000 | – | 15,000 | +100.0% | 0.05% | – |
| New | WAYFAIR INCnote 1.000% 8/1 | $144,000 | – | 65,000 | +100.0% | 0.05% | – | |
| TMKR | New | TASTEMAKER ACQUISITION CORP | $141,000 | – | 14,500 | +100.0% | 0.05% | – |
| BTRSW | New | BTRS HOLDINGS INC*w exp 01/12/202 | $138,000 | – | 29,200 | +100.0% | 0.05% | – |
| DWIN | New | DELWINDS INS ACQUISITION COR | $131,000 | – | 13,500 | +100.0% | 0.04% | – |
| New | OKTA INCnote 0.125% 9/0 | $115,000 | – | 85,000 | +100.0% | 0.04% | – | |
| ATSPU | New | ARCHIMEDES TECH SPAC PARTNRunit 03/10/2026 | $109,000 | – | 11,000 | +100.0% | 0.04% | – |
| VERB | New | VERB TECHNOLOGY CO INC | $109,000 | – | 78,000 | +100.0% | 0.04% | – |
| COMSW | New | COMSOVEREIGN HLDG CORP*w exp 12/18/202 | $90,000 | – | 72,058 | +100.0% | 0.03% | – |
| SHIP | New | SEANERGY MARITIME HLDGS CORP | $80,000 | – | 75,000 | +100.0% | 0.03% | – |
| ASM | New | AVINO SILVER & GOLD MINES LT | $70,000 | – | 56,242 | +100.0% | 0.02% | – |
| BCTXW | New | BRIACELL THERAPEUTICS CORP*w exp 02/24/202 | $64,000 | – | 59,400 | +100.0% | 0.02% | – |
| PME | New | PINGTAN MARINE ENTERPRISE LT | $58,000 | – | 56,000 | +100.0% | 0.02% | – |
| HYMCW | Buy | HYCROFT MINING HOLDING CORP*w exp 02/12/202 | $53,000 | +1225.0% | 102,355 | +39.9% | 0.02% | +1700.0% |
| PXSAW | Buy | PYXIS TANKERS INC*w exp 09/15/202 | $38,000 | +1166.7% | 59,397 | +172.1% | 0.01% | +1200.0% |
| SLNO | New | SOLENO THERAPEUTICS INC | $38,000 | – | 30,000 | +100.0% | 0.01% | – |
| PAVMZ | New | PAVMED INC*w exp 04/30/202 | $37,000 | – | 13,235 | +100.0% | 0.01% | – |
| NLSPW | New | NLS PHARMACEUTICS LTD*w exp 09/25/202 | $33,000 | – | 35,000 | +100.0% | 0.01% | – |
| New | LENDINGTREE INC NEWnote 0.625% 6/0 | $30,000 | – | 25,000 | +100.0% | 0.01% | – | |
| IMAC | New | IMAC HLDGS INC | $27,000 | – | 16,542 | +100.0% | 0.01% | – |
| SEAC | New | SEACHANGE INTL INC | $28,000 | – | 18,000 | +100.0% | 0.01% | – |
| PXS | New | PYXIS TANKERS INC | $21,000 | – | 20,000 | +100.0% | 0.01% | – |
| LIXTW | Buy | LIXTE BIOTECHNOLOGY HLDGS IN*w exp 01/01/202 | $22,000 | +83.3% | 26,600 | +104.6% | 0.01% | +133.3% |
| HYMCL | New | HYCROFT MINING HOLDING CORP*w exp 10/06/202 | $16,000 | – | 24,400 | +100.0% | 0.01% | – |
| Buy | LIBERTY MEDIA CORP DELdeb 3.500% 1/1 | $13,000 | +18.2% | 12,968 | +8.4% | 0.00% | +33.3% | |
| LSEAW | New | LANDSEA HOMES CORP*w exp 01/07/202 | $4,000 | – | 16,000 | +100.0% | 0.00% | – |
Original filings
The following EDGAR filing(s) were analyzed to create this report:
- View 13F-HR filed 2021-05-17
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 | 2024-05-06 |
| 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 |
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.