$516 Million is the total value of Warberg Asset Management LLC's 195 reported holdings in Q2 2021. The portfolio turnover from Q1 2021 to Q2 2021 was 99.3% .
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| SPY | Buy | SPDR S&P 500 ETF TRput | $154,530,000 | +151.6% | 361,000 | +132.9% | 29.96% | +46.8% |
| New | TESLA INCnote 2.375% 3/1 | $25,998,000 | – | 2,510,000 | +100.0% | 5.04% | – | |
| New | PLUG POWER INCnote 3.750% 6/0 | $23,727,000 | – | 3,485,000 | +100.0% | 4.60% | – | |
| Buy | NUANCE COMMUNICATIONS INCdbcv 1.000%12/1 | $12,984,000 | +536.2% | 5,749,000 | +421.7% | 2.52% | +271.2% | |
| New | SNAP INCnote 0.250% 5/0 | $12,603,000 | – | 4,000,000 | +100.0% | 2.44% | – | |
| Buy | RHnote 6/1 | $11,797,000 | +14.0% | 3,379,000 | +0.7% | 2.29% | -33.4% | |
| New | SEA LTDnote 2.375%12/0 | $11,438,000 | – | 3,708,000 | +100.0% | 2.22% | – | |
| Buy | NUANCE COMMUNICATIONS INCnote 1.250% 4/0 | $11,369,000 | +239.7% | 4,084,000 | +178.2% | 2.20% | +98.2% | |
| New | SERVICENOW INCnote 6/0 | $10,820,000 | – | 2,840,000 | +100.0% | 2.10% | – | |
| Buy | WIX COM LTDnote 7/0 | $10,621,000 | +4.9% | 5,155,000 | +2.6% | 2.06% | -38.8% | |
| Buy | WAYFAIR INCnote 1.125%11/0 | $9,750,000 | -0.0% | 3,555,000 | +0.0% | 1.89% | -41.6% | |
| Buy | RHnote 9/1 | $9,074,000 | +114.0% | 2,835,000 | +89.0% | 1.76% | +24.9% | |
| Buy | DEXCOM INCnote 0.750%12/0 | $8,700,000 | +36.9% | 3,341,000 | +16.3% | 1.69% | -20.1% | |
| Sell | HANNON ARMSTRONG SUST INFR Cnote 4.125% 9/0 | $8,408,000 | -0.6% | 4,080,000 | -0.6% | 1.63% | -42.0% | |
| ZILLOW GROUP INCnote 0.750% 9/0 | $6,897,000 | -5.6% | 2,450,000 | 0.0% | 1.34% | -44.9% | ||
| Buy | TERADYNE INCnote 1.250%12/1 | $6,891,000 | +992.1% | 1,626,000 | +891.5% | 1.34% | +536.2% | |
| TSLA | Buy | TESLA INCput | $6,797,000 | +126.1% | 10,000 | +122.2% | 1.32% | +31.9% |
| New | ON SEMICONDUCTOR CORPnote 1.625%10/1 | $6,475,000 | – | 3,400,000 | +100.0% | 1.26% | – | |
| Sell | SQUARE INCnote 0.500% 5/1 | $6,458,000 | -12.7% | 2,066,000 | -18.4% | 1.25% | -49.0% | |
| MERCADOLIBRE INCnote 2.000% 8/1 | $5,528,000 | +5.8% | 1,559,000 | 0.0% | 1.07% | -38.2% | ||
| MSFT | New | MICROSOFT CORPcall | $5,418,000 | – | 20,000 | +100.0% | 1.05% | – |
| TWNKW | Buy | HOSTESS BRANDS INC*w exp 11/04/202 | $5,184,000 | +111.6% | 2,133,405 | +26.3% | 1.00% | +23.5% |
| Buy | PALO ALTO NETWORKS INCnote 0.750% 7/0 | $5,103,000 | +12.2% | 3,496,000 | +1.7% | 0.99% | -34.5% | |
| New | ZENDESK INCnote 0.250% 3/1 | $5,045,000 | – | 2,200,000 | +100.0% | 0.98% | – | |
| Buy | BANDWIDTH INCnote 0.250% 3/0 | $4,884,000 | +10.2% | 3,000,000 | +3.4% | 0.95% | -35.7% | |
| Sell | ETSY INCnote 0.125%10/0 | $4,708,000 | -1.1% | 1,962,000 | -2.3% | 0.91% | -42.3% | |
| AMICUS THERAPEUTICS INCnote 3.000%12/1 | $4,410,000 | -2.4% | 2,800,000 | 0.0% | 0.86% | -43.0% | ||
| Buy | Q2 HLDGS INCnote 0.750% 2/1 | $4,182,000 | +26.7% | 2,309,000 | +25.1% | 0.81% | -26.1% | |
| MICROCHIP TECHNOLOGY INC.note 2.250% 2/1 | $4,105,000 | -2.3% | 1,830,000 | 0.0% | 0.80% | -43.0% | ||
| New | VARONIS SYS INCnote 1.250% 8/1 | $3,927,000 | – | 2,000,000 | +100.0% | 0.76% | – | |
| WSC | New | WILLSCOT MOBIL MINI HLDNG CO | $3,655,000 | – | 131,149 | +100.0% | 0.71% | – |
| Buy | KBR INCnote 2.500%11/0 | $3,220,000 | +85.5% | 2,057,000 | +87.0% | 0.62% | +8.1% | |
| Buy | REPLIGEN CORPnote 0.375% 7/1 | $3,189,000 | +623.1% | 1,778,000 | +611.2% | 0.62% | +323.3% | |
| Sell | PENN NATL GAMING INCnote 2.750% 5/1 | $3,066,000 | -29.7% | 915,000 | -5.2% | 0.59% | -59.0% | |
| New | HERCULES CAPITAL INCdbcv 4.375% 2/0 | $2,926,000 | – | 2,755,000 | +100.0% | 0.57% | – | |
| DASH | Buy | DOORDASH INCput | $2,853,000 | +262.5% | 16,000 | +166.7% | 0.55% | +111.9% |
| WSC | Sell | WILLSCOT MOBIL MINI HLDNG COput | $2,676,000 | -14.7% | 96,000 | -15.0% | 0.52% | -50.2% |
| Buy | AKAMAI TECHNOLOGIES INCnote 0.125% 5/0 | $2,623,000 | +518.6% | 2,000,000 | +471.4% | 0.51% | +260.3% | |
| New | SQUARE INCnote 0.125% 3/0 | $2,609,000 | – | 1,266,000 | +100.0% | 0.51% | – | |
| Sell | COUPA SOFTWARE INCnote 0.125% 6/1 | $2,598,000 | -52.5% | 1,500,000 | -53.3% | 0.50% | -72.2% | |
| Sell | SOUTHWEST AIRLS COnote 1.250% 5/0 | $2,583,000 | -24.9% | 1,706,000 | -14.7% | 0.50% | -56.2% | |
| AMC | New | AMC ENTMT HLDGS INCput | $2,494,000 | – | 44,000 | +100.0% | 0.48% | – |
| NEEPRO | Buy | NEXTERA ENERGY INCunit 09/01/2022s | $2,451,000 | +5.7% | 43,867 | +9.0% | 0.48% | -38.3% |
| IEAWW | Buy | INFRA AND ENERGY ALTRNTIVE I*w exp 03/27/202 | $2,419,000 | -34.6% | 1,125,088 | +3.2% | 0.47% | -61.8% |
| VXX | New | BARCLAYS BANK PLCcall | $2,386,000 | – | 81,000 | +100.0% | 0.46% | – |
| Buy | FTI CONSULTING INCnote 2.000% 8/1 | $2,288,000 | +211.3% | 1,597,000 | +218.8% | 0.44% | +82.0% | |
| KNOWLES CORPnote 3.250%11/0 | $2,227,000 | -7.1% | 2,000,000 | 0.0% | 0.43% | -45.8% | ||
| IIPR | Sell | INNOVATIVE INDL PPTYS INCput | $2,197,000 | -24.3% | 11,500 | -28.6% | 0.43% | -55.8% |
| New | CREE INCnote 1.750% 5/0 | $2,165,000 | – | 1,000,000 | +100.0% | 0.42% | – | |
| Buy | BLACKLINE INCnote 0.125% 8/0 | $2,130,000 | +14.3% | 1,325,000 | +12.8% | 0.41% | -33.3% | |
| Buy | HCI GROUP INCnote 4.250% 3/0 | $1,959,000 | +26.7% | 1,194,000 | +1.2% | 0.38% | -26.1% | |
| Sell | INSULET CORPnote 1.375%11/1 | $1,837,000 | -86.2% | 623,000 | -86.9% | 0.36% | -91.9% | |
| ROKU | New | ROKU INCput | $1,837,000 | – | 4,000 | +100.0% | 0.36% | – |
| Sell | ZYNGA INCnote 0.250% 6/0 | $1,725,000 | -4.6% | 1,249,000 | -5.7% | 0.33% | -44.4% | |
| Buy | RAPID7 INCnote 1.250% 8/0 | $1,718,000 | +545.9% | 755,000 | +420.7% | 0.33% | +278.4% | |
| WTRU | New | ESSENTIAL UTILS INCunit 04/30/2022 | $1,542,000 | – | 26,842 | +100.0% | 0.30% | – |
| SLV | Buy | ISHARES SILVER TRcall | $1,453,000 | +60.0% | 60,000 | +50.0% | 0.28% | -6.6% |
| NVDA | New | NVIDIA CORPORATIONcall | $1,400,000 | – | 7,000 | +100.0% | 0.27% | – |
| Sell | NUANCE COMMUNICATIONS INCdebt 1.500%11/0 | $1,346,000 | -53.8% | 509,000 | -62.9% | 0.26% | -73.0% | |
| Buy | NICE SYS INCnote 1.250% 1/1 | $1,267,000 | +16.2% | 427,000 | +2.4% | 0.25% | -32.0% | |
| CFXA | New | COLFAX CORPunit 01/15/2022t | $1,251,000 | – | 6,689 | +100.0% | 0.24% | – |
| SSSS | Buy | SURO CAPITAL CORP | $1,213,000 | +5.1% | 89,939 | +5.6% | 0.24% | -38.6% |
| New | DOCUSIGN INCnote 0.500% 9/1 | $1,142,000 | – | 292,000 | +100.0% | 0.22% | – | |
| SSSS | Sell | SURO CAPITAL CORPput | $1,133,000 | -1.8% | 84,000 | -1.4% | 0.22% | -42.6% |
| XOM | Sell | EXXON MOBIL CORPcall | $1,072,000 | -52.0% | 17,000 | -57.5% | 0.21% | -72.0% |
| TMV | DIREXION SHS ETF TRcall | $977,000 | -20.0% | 15,000 | 0.0% | 0.19% | -53.4% | |
| PCT | New | PURECYCLE TECHNOLOGIES INCput | $970,000 | – | 41,000 | +100.0% | 0.19% | – |
| ARKK | Sell | ARK ETF TRput | $915,000 | -4.7% | 7,000 | -12.5% | 0.18% | -44.5% |
| GFLU | New | GFL ENVIRONMENTAL INCunit 99/99/9999t | $907,000 | – | 12,130 | +100.0% | 0.18% | – |
| BB | New | BLACKBERRY LTDput | $843,000 | – | 69,000 | +100.0% | 0.16% | – |
| GCMGW | Sell | GCM GROSVENOR INC*w exp 11/17/202 | $829,000 | -44.3% | 538,121 | -57.0% | 0.16% | -67.5% |
| GDX | Sell | VANECK VECTORS ETF TRcall | $833,000 | -14.6% | 24,500 | -18.3% | 0.16% | -50.3% |
| NKLA | Sell | NIKOLA CORPput | $813,000 | +4.5% | 45,000 | -19.6% | 0.16% | -38.8% |
| New | SNAP INCnote 0.750% 8/0 | $785,000 | – | 260,000 | +100.0% | 0.15% | – | |
| DMSWS | Buy | DIGITAL MEDIA SOLUTIONS INC*w exp 07/15/202 | $770,000 | +58.8% | 558,186 | +87.7% | 0.15% | -7.5% |
| F | New | FORD MTR CO DELcall | $743,000 | – | 50,000 | +100.0% | 0.14% | – |
| INSG | INSEEGO CORPput | $739,000 | +1.0% | 73,200 | 0.0% | 0.14% | -41.2% | |
| Sell | ARBOR REALTY TRUST INCnote 5.250% 7/0 | $740,000 | -42.9% | 500,000 | -50.0% | 0.14% | -66.7% | |
| INSG | Buy | INSEEGO CORP | $739,000 | +19.4% | 73,200 | +18.3% | 0.14% | -30.6% |
| NEN | Buy | NEW ENGLAND RLTY ASSOC LTD Pdepositry rcpt | $660,000 | +115.0% | 11,000 | +96.9% | 0.13% | +25.5% |
| New | SEA LTDnote 1.000%12/0 | $657,000 | – | 120,000 | +100.0% | 0.13% | – | |
| PAAS | Sell | PAN AMERN SILVER CORPcall | $643,000 | -28.6% | 22,500 | -25.0% | 0.12% | -58.2% |
| IGICW | Sell | INTL GNRL INSURANCE HLDNGS L*w exp 03/17/202 | $639,000 | +12.1% | 639,277 | -0.2% | 0.12% | -34.4% |
| PTON | New | PELOTON INTERACTIVE INCput | $620,000 | – | 5,000 | +100.0% | 0.12% | – |
| PSTH | Buy | PERSHING SQUARE TONTINE HLDG | $569,000 | +137.1% | 25,000 | +150.0% | 0.11% | +37.5% |
| New | ZILLOW GROUP INCnote 1.375% 9/0 | $567,000 | – | 200,000 | +100.0% | 0.11% | – | |
| ALFIW | New | ALFI INC*w exp 04/29/202 | $563,000 | – | 54,888 | +100.0% | 0.11% | – |
| PAVMZ | Buy | PAVMED INC*w exp 04/30/202 | $521,000 | +1308.1% | 108,509 | +719.9% | 0.10% | +741.7% |
| MUDS | New | MUDRICK CAPITAL ACQU CORP IIput | $498,000 | – | 40,000 | +100.0% | 0.10% | – |
| GOEDWS | New | 1847 GOEDEKER INC*w exp 99/99/999 | $478,000 | – | 224,638 | +100.0% | 0.09% | – |
| KLRWS | New | KALEYRA INC*w exp 11/25/202 | $461,000 | – | 144,000 | +100.0% | 0.09% | – |
| HUBSPOT INCnote 0.250% 6/0 | $460,000 | +28.1% | 75,000 | 0.0% | 0.09% | -25.2% | ||
| TBT | New | PROSHARES TRcall | $452,000 | – | 24,000 | +100.0% | 0.09% | – |
| TRKAW | New | TROIKA MEDIA GROUP INC*w exp 04/13/202 | $439,000 | – | 556,350 | +100.0% | 0.08% | – |
| New | AMERICAN EAGLE OUTFITTERS INnote 3.750% 4/1 | $423,000 | – | 97,000 | +100.0% | 0.08% | – | |
| New | COLONY STARWOOD HOMESnote 3.500% 1/1 | $347,000 | – | 212,000 | +100.0% | 0.07% | – | |
| KRBP | New | KIROMIC BIOPHARMA INC | $303,000 | – | 63,000 | +100.0% | 0.06% | – |
| VXX | New | BARCLAYS BANK PLCipth sr b s&p | $293,000 | – | 9,935 | +100.0% | 0.06% | – |
| Sell | ETSY INCnote 3/0 | $289,000 | -77.7% | 51,000 | -78.1% | 0.06% | -87.0% | |
| MUDS | New | MUDRICK CAPITAL ACQU CORP II | $262,000 | – | 21,000 | +100.0% | 0.05% | – |
| New | LIVEPERSON INCnote 0.750% 3/0 | $264,000 | – | 150,000 | +100.0% | 0.05% | – | |
| New | HUBSPOT INCnote 0.375% 6/0 | $265,000 | – | 125,000 | +100.0% | 0.05% | – | |
| PTIXW | New | PROTAGENIC THERAPEUTICS INC*w exp 04/13/202 | $260,000 | – | 365,790 | +100.0% | 0.05% | – |
| IKT | New | INHIBIKASE THERAPEUTICS INC | $252,000 | – | 90,000 | +100.0% | 0.05% | – |
| AQNU | New | ALGONQUIN PWR UTILS CORPunit 99/99/9999 | $248,000 | – | 5,000 | +100.0% | 0.05% | – |
| MCAFU | New | MOUNTAIN CREST ACQUSITN CRPunit 06/29/2026 | $248,000 | – | 25,000 | +100.0% | 0.05% | – |
| LPX | New | LOUISIANA PAC CORPput | $241,000 | – | 4,000 | +100.0% | 0.05% | – |
| Sell | WORKDAY INCnote 0.250%10/0 | $243,000 | -73.4% | 147,000 | -72.3% | 0.05% | -84.5% | |
| Buy | WAYFAIR INCnote 0.375% 9/0 | $239,000 | +2.6% | 79,000 | +2.6% | 0.05% | -40.3% | |
| ALTAIR ENGR INCnote 0.250% 6/0 | $233,000 | +7.4% | 150,000 | 0.0% | 0.04% | -37.5% | ||
| SDS | Sell | PROSHARES TRultrashrt s&p500 | $226,000 | -30.0% | 25,000 | -16.7% | 0.04% | -58.9% |
| New | CONMED CORPnote 2.625% 2/0 | $212,000 | – | 131,000 | +100.0% | 0.04% | – | |
| VIAVI SOLUTIONS INCnote 1.000% 3/0 | $213,000 | +7.6% | 150,000 | 0.0% | 0.04% | -37.9% | ||
| GME | Sell | GAMESTOP CORP NEWput | $214,000 | -62.4% | 1,000 | -66.7% | 0.04% | -78.3% |
| GME | New | GAMESTOP CORP NEWcl a | $214,000 | – | 1,000 | +100.0% | 0.04% | – |
| CERE | New | CEREVEL THERAPEUTICS HLDNG Iput | $205,000 | – | 8,000 | +100.0% | 0.04% | – |
| New | INSULET CORPnote 0.375% 9/0 | $204,000 | – | 150,000 | +100.0% | 0.04% | – | |
| GACQU | New | GLOBAL CONSUMER ACQUISITN COunit 05/21/2026 | $200,000 | – | 20,000 | +100.0% | 0.04% | – |
| FPAC | New | FAR PEAK ACQUISITION CORP | $198,000 | – | 19,900 | +100.0% | 0.04% | – |
| CCAC | New | CITIC CAPITAL ACQUISITION CO | $197,000 | – | 19,900 | +100.0% | 0.04% | – |
| NBST | New | NEWBURY STREET ACQUISITN COR | $193,000 | – | 20,000 | +100.0% | 0.04% | – |
| CLVRW | New | CLEVER LEAVES HOLDINGS INC*w exp 12/18/202 | $184,000 | – | 88,559 | +100.0% | 0.04% | – |
| New | TESLA INCnote 2.000% 5/1 | $186,000 | – | 17,000 | +100.0% | 0.04% | – | |
| CLOVW | New | CLOVER HEALTH INVESTMENTS CO*w exp 04/21/202 | $179,000 | – | 35,000 | +100.0% | 0.04% | – |
| PTOC | New | PINE TECHNOLOGY ACQUISITN CO | $170,000 | – | 17,502 | +100.0% | 0.03% | – |
| CVM | New | CEL-SCI CORPput | $165,000 | – | 19,000 | +100.0% | 0.03% | – |
| MLAC | MALACCA STRAITS ACQUISITION | $161,000 | 0.0% | 16,269 | 0.0% | 0.03% | -41.5% | |
| ALTU | New | ALTITUDE ACQUISITION CORP | $161,000 | – | 16,400 | +100.0% | 0.03% | – |
| RCLF | New | ROSECLIFF ACQUISITION CORP I | $156,000 | – | 16,077 | +100.0% | 0.03% | – |
| PSAG | New | PROPERTY SOLUTIONS ACQUISITI | $155,000 | – | 16,000 | +100.0% | 0.03% | – |
| CONX | New | CONX CORP | $148,000 | – | 15,044 | +100.0% | 0.03% | – |
| ACIC | New | ATLAS CREST INVT CORP | $151,000 | – | 15,200 | +100.0% | 0.03% | – |
| BFIIW | Buy | BURGERFI INTERNATIONAL INC*w exp 12/16/202 | $150,000 | -17.1% | 66,879 | +43.3% | 0.03% | -51.7% |
| MITAU | New | COLISEUM ACQUISITION CORPunit 04/02/2028 | $148,000 | – | 15,000 | +100.0% | 0.03% | – |
| PIPP | New | PINE IS ACQUISITION CORPcl a | $146,000 | – | 15,000 | +100.0% | 0.03% | – |
| GAPA | New | G&P ACQUISITION CORP | $146,000 | – | 15,000 | +100.0% | 0.03% | – |
| GIWWU | New | GIGINTERNATIONAL1 INCunit 05/19/2026 | $145,000 | – | 14,400 | +100.0% | 0.03% | – |
| TMKR | TASTEMAKER ACQUISITION CORP | $141,000 | 0.0% | 14,500 | 0.0% | 0.03% | -42.6% | |
| New | PROOFPOINT INCnote 0.250% 8/1 | $137,000 | – | 109,000 | +100.0% | 0.03% | – | |
| AVCT | New | AMERICAN VRTUAL CLOUD TECH I | $133,000 | – | 22,282 | +100.0% | 0.03% | – |
| CLOV | Sell | CLOVER HEALTH INVESTMENTS COput | $133,000 | -64.6% | 10,000 | -79.9% | 0.03% | -79.2% |
| DWIN | DELWINDS INS ACQUISITION COR | $132,000 | +0.8% | 13,500 | 0.0% | 0.03% | -40.9% | |
| OPHC | Sell | OPTIMUMBANK HLDGS INC | $134,000 | -18.8% | 27,775 | -34.8% | 0.03% | -52.7% |
| BTRSW | Buy | BTRS HOLDINGS INC*w exp 01/12/202 | $130,000 | -5.8% | 33,000 | +13.0% | 0.02% | -45.7% |
| GOEVW | Sell | CANOO INC*w exp 12/21/202 | $126,000 | -49.4% | 42,000 | -52.3% | 0.02% | -71.1% |
| DILAU | New | DILA CAPITAL ACQUISITION CORunit 99/99/9999 | $126,000 | – | 12,465 | +100.0% | 0.02% | – |
| NG | Sell | NOVAGOLD RES INCcall | $126,000 | -31.5% | 15,700 | -25.2% | 0.02% | -60.7% |
| XPOA | New | DPCM CAP INC | $119,000 | – | 12,000 | +100.0% | 0.02% | – |
| BMTXWS | New | BM TECHNOLOGIES INC*w exp 01/04/202 | $118,000 | – | 45,972 | +100.0% | 0.02% | – |
| VIH | New | VPC IMPACT ACQUISITION HLDNG | $118,000 | – | 11,815 | +100.0% | 0.02% | – |
| DSKEW | Buy | DASEKE INC*w exp 02/27/202 | $117,000 | -65.8% | 1,013,192 | +0.7% | 0.02% | -79.8% |
| DTSTW | New | DATA STORAGE CORP*w exp 05/13/202 | $121,000 | – | 99,374 | +100.0% | 0.02% | – |
| SRNG | New | SOARING EAGLE ACQUISITION CO | $120,000 | – | 12,000 | +100.0% | 0.02% | – |
| New | DICKS SPORTING GOODS INCnote 3.250% 4/1 | $116,000 | – | 39,000 | +100.0% | 0.02% | – | |
| ASAQ | ATLANTIC AVE ACQUISITION COR | $115,000 | 0.0% | 11,850 | 0.0% | 0.02% | -42.1% | |
| FREEW | New | WHOLE EARTH BRANDS INC*w exp 06/25/202 | $111,000 | – | 50,000 | +100.0% | 0.02% | – |
| HCNEU | New | JAWS HURRICANE ACQUISITN CORunit 06/08/2026 | $114,000 | – | 11,374 | +100.0% | 0.02% | – |
| ATSPT | New | ARCHIMEDES TECH SPAC PARTNRunit 99/99/9999 | $107,000 | – | 11,000 | +100.0% | 0.02% | – |
| ZNTE | New | ZANITE ACQUISITION CORP | $107,000 | – | 10,600 | +100.0% | 0.02% | – |
| EOCWU | New | ELLIOTT OPPORTUNITY II CORPunit 99/99/9999 | $100,000 | – | 10,000 | +100.0% | 0.02% | – |
| GROMW | New | GROM SOCIAL ENTERPRISES INC*w exp 06/17/202 | $90,000 | – | 90,400 | +100.0% | 0.02% | – |
| DBGIW | New | DIGITAL BRANDS GROUP INC*w exp 05/01/202 | $88,000 | – | 51,800 | +100.0% | 0.02% | – |
| SOS | New | SOS LIMITEDput | $89,000 | – | 26,900 | +100.0% | 0.02% | – |
| HCDIW | New | HARBOR CUSTOM DEVELOPMENT IN*w exp 05/09/202 | $76,000 | – | 120,240 | +100.0% | 0.02% | – |
| APWS | Sell | AMPCO-PITTSBURG CORP*w exp 08/01/202 | $79,000 | -32.5% | 87,500 | -1.4% | 0.02% | -61.5% |
| New | BILIBILI INCnote 1.375% 4/0 | $74,000 | – | 15,000 | +100.0% | 0.01% | – | |
| OSATW | New | ORBSAT CORP*w exp 04/29/202 | $65,000 | – | 36,900 | +100.0% | 0.01% | – |
| AUUDW | New | AUDDIA INC*w exp 10/17/202 | $60,000 | – | 32,000 | +100.0% | 0.01% | – |
| BCTXW | Sell | BRIACELL THERAPEUTICS CORP*w exp 02/24/202 | $58,000 | -9.4% | 32,000 | -46.1% | 0.01% | -47.6% |
| ASM | Sell | AVINO SILVER & GOLD MINES LT | $59,000 | -15.7% | 50,000 | -11.1% | 0.01% | -52.2% |
| VRMEW | Sell | VERIFYME INC*w exp 06/22/202 | $52,000 | -14.8% | 37,108 | -3.8% | 0.01% | -50.0% |
| HCDI | New | HARBOR CUSTOM DEVELOPMENT IN | $50,000 | – | 15,583 | +100.0% | 0.01% | – |
| ENTXW | Buy | ENTERA BIO LTD*w exp 07/02/202 | $45,000 | +150.0% | 45,001 | +27.6% | 0.01% | +50.0% |
| SAILPOINT TECHNOLOGIES HLDGSnote 0.125% 9/1 | $47,000 | 0.0% | 25,000 | 0.0% | 0.01% | -43.8% | ||
| ZIVOW | New | ZIVO BIOSCIENCE INC*w exp 05/14/202 | $45,000 | – | 30,000 | +100.0% | 0.01% | – |
| NLSPW | Buy | NLS PHARMACEUTICS LTD*w exp 09/25/202 | $44,000 | +33.3% | 40,111 | +14.6% | 0.01% | -18.2% |
| COMSW | Sell | COMSOVEREIGN HLDG CORP*w exp 12/18/202 | $41,000 | -54.4% | 35,000 | -51.4% | 0.01% | -73.3% |
| HYMCL | Buy | HYCROFT MINING HOLDING CORP*w exp 10/06/202 | $43,000 | +168.8% | 51,158 | +109.7% | 0.01% | +60.0% |
| Sell | WAYFAIR INCnote 1.000% 8/1 | $42,000 | -70.8% | 19,000 | -70.8% | 0.01% | -83.3% | |
| SLNO | SOLENO THERAPEUTICS INC | $34,000 | -10.5% | 30,000 | 0.0% | 0.01% | -46.2% | |
| JOB | New | GEE GROUP INC | $31,000 | – | 54,000 | +100.0% | 0.01% | – |
| IMACW | Sell | IMAC HLDGS INC*w exp 02/12/202 | $33,000 | -25.0% | 65,625 | -35.9% | 0.01% | -60.0% |
| ADVWW | New | ADVANTAGE SOLUTIONS INC*w exp 07/18/202 | $30,000 | – | 12,000 | +100.0% | 0.01% | – |
| PBLA | New | PANBELA THERAPEUTICS INC | $33,000 | – | 11,567 | +100.0% | 0.01% | – |
| GOVXW | Buy | GEOVAX LABS INC*w exp 09/29/202 | $22,000 | +57.1% | 16,302 | +35.3% | 0.00% | -20.0% |
| Sell | ZILLOW GROUP INCnote 1.500% 7/0 | $23,000 | -91.0% | 15,000 | -90.1% | 0.00% | -95.3% | |
| PXS | Buy | PYXIS TANKERS INC | $22,000 | +4.8% | 25,000 | +25.0% | 0.00% | -42.9% |
| MDGSW | Sell | MEDIGUS LTD*w exp 07/23/202 | $19,000 | -40.6% | 32,900 | -11.1% | 0.00% | -63.6% |
| PXSAW | Sell | PYXIS TANKERS INC*w exp 09/15/202 | $19,000 | -50.0% | 47,045 | -20.8% | 0.00% | -69.2% |
| SEAC | Sell | SEACHANGE INTL INC | $20,000 | -28.6% | 15,400 | -14.4% | 0.00% | -55.6% |
| GXGXW | New | GX ACQUISITION CORP*w exp 05/24/202 | $14,000 | – | 10,000 | +100.0% | 0.00% | – |
| LIBERTY MEDIA CORP DELdeb 3.500% 1/1 | $15,000 | +15.4% | 12,968 | 0.0% | 0.00% | -25.0% | ||
| SBEVWS | New | SPLASH BEVERAGE GROUP INC*w exp 99/99/999 | $15,000 | – | 13,512 | +100.0% | 0.00% | – |
| NBSTW | New | NEWBURY STREET ACQUISITN COR*w exp 04/30/202 | $8,000 | – | 10,000 | +100.0% | 0.00% | – |
| LIXTW | Sell | LIXTE BIOTECHNOLOGY HLDGS IN*w exp 01/01/202 | $11,000 | -50.0% | 14,354 | -46.0% | 0.00% | -71.4% |
| BRMKWS | Exit | BROADMARK RLTY CAP INC*w exp 11/15/202 | $0 | – | -10,000 | -100.0% | -0.00% | – |
| LSEAW | Exit | LANDSEA HOMES CORP*w exp 01/07/202 | $0 | – | -16,000 | -100.0% | -0.00% | – |
| GBWS | Exit | GLOBAL BLUE GROUP HOLDING AG*w exp 08/28/202 | $0 | – | -15,450 | -100.0% | -0.01% | – |
| IMAC | Exit | IMAC HLDGS INC | $0 | – | -16,542 | -100.0% | -0.01% | – |
| Exit | LENDINGTREE INC NEWnote 0.625% 6/0 | $0 | – | -25,000 | -100.0% | -0.01% | – | |
| SMTS | Exit | SIERRA METALS INC | $0 | – | -10,000 | -100.0% | -0.01% | – |
| SOLOW | Exit | ELECTRAMECCANICA VEHS CORP*w exp 08/03/202 | $0 | – | -15,500 | -100.0% | -0.02% | – |
| FATBW | Exit | FAT BRANDS INC*w exp 06/30/202 | $0 | – | -15,000 | -100.0% | -0.02% | – |
| HYMCW | Exit | HYCROFT MINING HOLDING CORP*w exp 02/12/202 | $0 | – | -102,355 | -100.0% | -0.02% | – |
| PME | Exit | PINGTAN MARINE ENTERPRISE LT | $0 | – | -56,000 | -100.0% | -0.02% | – |
| BXRX | Exit | BAUDAX BIO INCcall | $0 | – | -58,000 | -100.0% | -0.02% | – |
| HCHC | Exit | HC2 HLDGS INCcall | $0 | – | -20,000 | -100.0% | -0.03% | – |
| SHIP | Exit | SEANERGY MARITIME HLDGS CORP | $0 | – | -75,000 | -100.0% | -0.03% | – |
| MUX | Exit | MCEWEN MNG INC | $0 | – | -80,000 | -100.0% | -0.03% | – |
| PTK | Exit | PTK ACQUISITION CORP | $0 | – | -10,677 | -100.0% | -0.04% | – |
| ATSPU | Exit | ARCHIMEDES TECH SPAC PARTNRunit 03/10/2026 | $0 | – | -11,000 | -100.0% | -0.04% | – |
| VERB | Exit | VERB TECHNOLOGY CO INC | $0 | – | -78,000 | -100.0% | -0.04% | – |
| Exit | OKTA INCnote 0.125% 9/0 | $0 | – | -85,000 | -100.0% | -0.04% | – | |
| TMTS | Exit | SPARTACUS ACQUISITION CORPcl a | $0 | – | -12,600 | -100.0% | -0.04% | – |
| MAAC | Exit | MONTES ARCHIMEDES ACQUISITIO | $0 | – | -12,850 | -100.0% | -0.04% | – |
| NFHWS | Exit | NEW FRONTIER HEALTH CORP*w exp 11/30/202 | $0 | – | -54,313 | -100.0% | -0.04% | – |
| GAPAU | Exit | G&P ACQUISITION CORPunit 02/28/2028 | $0 | – | -15,000 | -100.0% | -0.05% | – |
| AMAOU | Exit | AMERICAN ACQUISITION OPPT INunit 05/28/2026 | $0 | – | -15,000 | -100.0% | -0.05% | – |
| SKT | Exit | TANGER FACTORY OUTLET CTRS Icall | $0 | – | -10,000 | -100.0% | -0.05% | – |
| PSAGU | Exit | PROPERTY SOLUTIONS ACQUISITIunit 03/01/2026 | $0 | – | -16,000 | -100.0% | -0.05% | – |
| RCLFU | Exit | ROSECLIFF ACQUISITION CORP Iunit 99/99/9999 | $0 | – | -16,076 | -100.0% | -0.05% | – |
| SA | Exit | SEABRIDGE GOLD INCcall | $0 | – | -10,000 | -100.0% | -0.05% | – |
| PTOCU | Exit | PINE TECHNOLOGY ACQUISITN COunit 03/31/2028 | $0 | – | -17,500 | -100.0% | -0.06% | – |
| NBSTU | Exit | NEWBURY STREET ACQUISITN CORunit 04/30/2028 | $0 | – | -20,000 | -100.0% | -0.07% | – |
| BLNK | Exit | BLINK CHARGING COput | $0 | – | -5,000 | -100.0% | -0.07% | – |
| AESC | Exit | AES CORPunit 99/99/9999 | $0 | – | -2,097 | -100.0% | -0.07% | – |
| Exit | INSEEGO CORPnote 3.250% 5/0 | $0 | – | -210,000 | -100.0% | -0.07% | – | |
| PSTH | Exit | PERSHING SQUARE TONTINE HLDGput | $0 | – | -11,100 | -100.0% | -0.09% | – |
| Exit | MICROCHIP TECHNOLOGY INC.note 1.625% 2/1 | $0 | – | -80,000 | -100.0% | -0.09% | – | |
| Exit | Q2 HLDGS INCnote 0.750% 6/0 | $0 | – | -242,000 | -100.0% | -0.10% | – | |
| Exit | SYNAPTICS INCnote 0.500% 6/1 | $0 | – | -200,000 | -100.0% | -0.12% | – | |
| RIOT | Exit | RIOT BLOCKCHAIN INCput | $0 | – | -7,000 | -100.0% | -0.12% | – |
| VUZI | Exit | VUZIX CORPput | $0 | – | -15,000 | -100.0% | -0.13% | – |
| SPCX | Exit | COLLABORATIVE INVESTMNT SERput | $0 | – | -17,000 | -100.0% | -0.16% | – |
| Exit | NEUROCRINE BIOSCIENCES INCnote 2.250% 5/1 | $0 | – | -414,000 | -100.0% | -0.19% | – | |
| ALTGWS | Exit | ALTA EQUIPMENT GROUP INC*w exp 02/14/202 | $0 | – | -174,606 | -100.0% | -0.20% | – |
| CHNGU | Exit | CHANGE HEALTHCARE INCunit 99/99/9999 | $0 | – | -8,616 | -100.0% | -0.21% | – |
| TLT | Exit | ISHARES TR20 yr tr bd etf | $0 | – | -5,000 | -100.0% | -0.22% | – |
| SJIU | Exit | SOUTH JERSEY INDS INCunit 99/99/9999 | $0 | – | -33,225 | -100.0% | -0.42% | – |
| FB | Exit | FACEBOOK INCput | $0 | – | -6,000 | -100.0% | -0.59% | – |
| Exit | MONGODB INCnote 0.750% 6/1 | $0 | – | -478,000 | -100.0% | -0.62% | – | |
| SPY | Exit | SPDR S&P 500 ETF TRcall | $0 | – | -5,000 | -100.0% | -0.66% | – |
| XLF | Exit | SELECT SECTOR SPDR TRput | $0 | – | -70,000 | -100.0% | -0.79% | – |
| Exit | CHEGG INCnote 0.125% 3/1 | $0 | – | -1,725,000 | -100.0% | -1.00% | – | |
| CCL | Exit | CARNIVAL CORPunit 99/99/9999 | $0 | – | -119,600 | -100.0% | -1.05% | – |
| CCL | Exit | CARNIVAL CORPput | $0 | – | -120,700 | -100.0% | -1.06% | – |
| TLT | Exit | ISHARES TRput | $0 | – | -26,000 | -100.0% | -1.17% | – |
| Exit | ILLUMINA INCnote 0.500% 6/1 | $0 | – | -4,415,000 | -100.0% | -2.21% | – | |
| Exit | MICRON TECHNOLOGY INCnote 3.125% 5/0 | $0 | – | -840,000 | -100.0% | -2.46% | – | |
| Exit | J2 GLOBAL INCnote 3.250% 6/1 | $0 | – | -5,887,000 | -100.0% | -3.46% | – |
Original filings
The following EDGAR filing(s) were analyzed to create this report:
- View 13F-HR filed 2021-08-16
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.