$617 Million is the total value of Warberg Asset Management LLC's 196 reported holdings in Q3 2021. The portfolio turnover from Q2 2021 to Q3 2021 was 57.9% .
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| SPY | Buy | SPDR S&P 500 ETF TRput | $222,295,000 | +43.9% | 518,000 | +43.5% | 36.05% | +20.3% |
| TESLA INCnote 2.375% 3/1 | $29,691,000 | +14.2% | 2,510,000 | 0.0% | 4.82% | -4.5% | ||
| Buy | NUANCE COMMUNICATIONS INCnote 1.250% 4/0 | $21,771,000 | +91.5% | 7,743,000 | +89.6% | 3.53% | +60.2% | |
| PLUG POWER INCnote 3.750% 6/0 | $17,784,000 | -25.0% | 3,485,000 | 0.0% | 2.88% | -37.3% | ||
| New | MICROCHIP TECHNOLOGY INC.note 1.625% 2/1 | $17,166,000 | – | 5,073,000 | +100.0% | 2.78% | – | |
| New | CLOUDFLARE INCnote 0.750% 5/1 | $15,089,000 | – | 5,000,000 | +100.0% | 2.45% | – | |
| Buy | RHnote 9/1 | $14,390,000 | +58.6% | 4,575,000 | +61.4% | 2.33% | +32.6% | |
| SNAP INCnote 0.250% 5/0 | $13,654,000 | +8.3% | 4,000,000 | 0.0% | 2.21% | -9.4% | ||
| Buy | REPLIGEN CORPnote 0.375% 7/1 | $12,722,000 | +298.9% | 5,025,000 | +182.6% | 2.06% | +233.8% | |
| Sell | SEA LTDnote 2.375%12/0 | $12,550,000 | +9.7% | 3,533,000 | -4.7% | 2.04% | -8.2% | |
| Buy | ON SEMICONDUCTOR CORPnote 1.625%10/1 | $12,284,000 | +89.7% | 5,450,000 | +60.3% | 1.99% | +58.7% | |
| Buy | RHnote 6/1 | $11,688,000 | -0.9% | 3,409,000 | +0.9% | 1.90% | -17.1% | |
| Buy | DEXCOM INCnote 0.750%12/0 | $11,157,000 | +28.2% | 3,355,000 | +0.4% | 1.81% | +7.2% | |
| Buy | PALO ALTO NETWORKS INCnote 0.750% 7/0 | $10,404,000 | +103.9% | 5,722,000 | +63.7% | 1.69% | +70.6% | |
| QQQ | New | INVESCO QQQ TRput | $8,949,000 | – | 25,000 | +100.0% | 1.45% | – |
| WAYFAIR INCnote 1.125%11/0 | $8,003,000 | -17.9% | 3,555,000 | 0.0% | 1.30% | -31.3% | ||
| TSLA | TESLA INCput | $7,755,000 | +14.1% | 10,000 | 0.0% | 1.26% | -4.6% | |
| Buy | SEA LTDnote 1.000%12/0 | $7,469,000 | +1036.8% | 1,175,000 | +879.2% | 1.21% | +853.5% | |
| Sell | WIX COM LTDnote 7/0 | $7,171,000 | -32.5% | 4,830,000 | -6.3% | 1.16% | -43.5% | |
| Buy | MERCADOLIBRE INCnote 2.000% 8/1 | $6,627,000 | +19.9% | 1,734,000 | +11.2% | 1.08% | +0.3% | |
| Buy | ETSY INCnote 0.125%10/0 | $6,226,000 | +32.2% | 2,564,000 | +30.7% | 1.01% | +10.6% | |
| Sell | SQUARE INCnote 0.500% 5/1 | $5,490,000 | -15.0% | 1,782,000 | -13.7% | 0.89% | -28.9% | |
| ZILLOW GROUP INCnote 0.750% 9/0 | $5,061,000 | -26.6% | 2,450,000 | 0.0% | 0.82% | -38.6% | ||
| Buy | ZENDESK INCnote 0.250% 3/1 | $4,396,000 | -12.9% | 2,350,000 | +6.8% | 0.71% | -27.1% | |
| Buy | WORKDAY INCnote 0.250%10/0 | $4,285,000 | +1663.4% | 2,500,000 | +1600.7% | 0.70% | +1378.7% | |
| CHKEW | New | CHESAPEAKE ENERGY CORP*w exp 99/99/999 | $4,285,000 | – | 118,000 | +100.0% | 0.70% | – |
| Buy | HERCULES CAPITAL INCdbcv 4.375% 2/0 | $4,186,000 | +43.1% | 4,004,000 | +45.3% | 0.68% | +19.8% | |
| VARONIS SYS INCnote 1.250% 8/1 | $4,112,000 | +4.7% | 2,000,000 | 0.0% | 0.67% | -12.4% | ||
| New | MIDDLEBY CORPnote 1.000% 9/0 | $3,718,000 | – | 2,600,000 | +100.0% | 0.60% | – | |
| DASH | Buy | DOORDASH INCput | $3,708,000 | +30.0% | 18,000 | +12.5% | 0.60% | +8.7% |
| TLT | New | ISHARES TRput | $3,608,000 | – | 25,000 | +100.0% | 0.58% | – |
| MRNA | New | MODERNA INCput | $3,464,000 | – | 9,000 | +100.0% | 0.56% | – |
| Sell | MICROCHIP TECHNOLOGY INC.note 2.250% 2/1 | $3,404,000 | -17.1% | 1,480,000 | -19.1% | 0.55% | -30.7% | |
| Q2 HLDGS INCnote 0.750% 2/1 | $3,332,000 | -20.3% | 2,309,000 | 0.0% | 0.54% | -33.4% | ||
| Buy | KBR INCnote 2.500%11/0 | $3,325,000 | +3.3% | 2,065,000 | +0.4% | 0.54% | -13.6% | |
| Buy | SQUARE INCnote 0.125% 3/0 | $3,210,000 | +23.0% | 1,581,000 | +24.9% | 0.52% | +3.0% | |
| PAVMZ | Buy | PAVMED INC*w exp 04/30/202 | $3,095,000 | +494.0% | 445,899 | +310.9% | 0.50% | +397.0% |
| Buy | AKAMAI TECHNOLOGIES INCnote 0.125% 5/0 | $3,036,000 | +15.7% | 2,500,000 | +25.0% | 0.49% | -3.1% | |
| Buy | PENN NATL GAMING INCnote 2.750% 5/1 | $2,967,000 | -3.2% | 928,000 | +1.4% | 0.48% | -19.0% | |
| NEEPRO | Buy | NEXTERA ENERGY INCunit 09/01/2022s | $2,799,000 | +14.2% | 47,833 | +9.0% | 0.45% | -4.4% |
| SOUTHWEST AIRLS COnote 1.250% 5/0 | $2,550,000 | -1.3% | 1,706,000 | 0.0% | 0.41% | -17.4% | ||
| AAPL | New | APPLE INCput | $2,476,000 | – | 17,500 | +100.0% | 0.40% | – |
| Buy | HUBSPOT INCnote 0.250% 6/0 | $2,319,000 | +404.1% | 325,000 | +333.3% | 0.38% | +322.5% | |
| MUDS | Buy | MUDRICK CAPITAL ACQU CORP II | $2,302,000 | +778.6% | 231,400 | +1001.9% | 0.37% | +631.4% |
| SLV | Buy | ISHARES SILVER TRcall | $2,257,000 | +55.3% | 110,000 | +83.3% | 0.37% | +29.8% |
| Buy | BLACKLINE INCnote 0.125% 8/0 | $2,247,000 | +5.5% | 1,339,000 | +1.1% | 0.36% | -11.9% | |
| FTI CONSULTING INCnote 2.000% 8/1 | $2,235,000 | -2.3% | 1,597,000 | 0.0% | 0.36% | -18.5% | ||
| HCI GROUP INCnote 4.250% 3/0 | $2,185,000 | +11.5% | 1,194,000 | 0.0% | 0.35% | -6.8% | ||
| SPY | New | SPDR S&P 500 ETF TRcall | $2,146,000 | – | 5,000 | +100.0% | 0.35% | – |
| WTRU | Buy | ESSENTIAL UTILS INCunit 04/30/2022 | $2,065,000 | +33.9% | 35,990 | +34.1% | 0.34% | +12.0% |
| Buy | KNOWLES CORPnote 3.250%11/0 | $2,044,000 | -8.2% | 2,010,000 | +0.5% | 0.33% | -23.4% | |
| IIPR | Sell | INNOVATIVE INDL PPTYS INCput | $1,942,000 | -11.6% | 8,400 | -27.0% | 0.32% | -26.1% |
| INSULET CORPnote 1.375%11/1 | $1,898,000 | +3.3% | 623,000 | 0.0% | 0.31% | -13.5% | ||
| Buy | NICE SYS INCnote 1.250% 1/1 | $1,828,000 | +44.3% | 536,000 | +25.5% | 0.30% | +20.3% | |
| CHKEL | New | CHESAPEAKE ENERGY CORP*w exp 09/02/202 | $1,813,000 | – | 62,000 | +100.0% | 0.29% | – |
| QQQ | New | INVESCO QQQ TRunit ser 1 | $1,790,000 | – | 5,000 | +100.0% | 0.29% | – |
| WSC | Sell | WILLSCOT MOBIL MINI HLDNG CO | $1,776,000 | -51.4% | 56,004 | -57.3% | 0.29% | -59.4% |
| VXX | Sell | BARCLAYS BANK PLCcall | $1,670,000 | -30.0% | 60,000 | -25.9% | 0.27% | -41.5% |
| GDX | Buy | VANECK ETF TRUSTcall | $1,621,000 | +94.6% | 55,000 | +124.5% | 0.26% | +63.4% |
| NEEPRP | New | NEXTERA ENERGY INCunit 99/99/9999 | $1,529,000 | – | 30,000 | +100.0% | 0.25% | – |
| IEAWW | Buy | INFRA AND ENERGY ALTRNTIVE I*w exp 03/27/202 | $1,509,000 | -37.6% | 1,278,607 | +13.6% | 0.24% | -47.8% |
| Buy | DOCUSIGN INCnote 0.500% 9/1 | $1,318,000 | +15.4% | 367,000 | +25.7% | 0.21% | -3.2% | |
| New | RAMBUS INC DELnote 1.375% 2/0 | $1,235,000 | – | 977,000 | +100.0% | 0.20% | – | |
| ARKK | Buy | ARK ETF TRput | $1,105,000 | +20.8% | 10,000 | +42.9% | 0.18% | +1.1% |
| Buy | SNAP INCnote 0.750% 8/0 | $1,064,000 | +35.5% | 326,000 | +25.4% | 0.17% | +13.8% | |
| TMV | DIREXION SHS ETF TRcall | $935,000 | -4.3% | 15,000 | 0.0% | 0.15% | -19.6% | |
| SSSS | Sell | SURO CAPITAL CORP | $838,000 | -30.9% | 64,929 | -27.8% | 0.14% | -42.1% |
| DOCN | New | DIGITALOCEAN HLDGS INCput | $776,000 | – | 10,000 | +100.0% | 0.13% | – |
| NEN | Buy | NEW ENGLAND RLTY ASSOC LTD Pdepositry rcpt | $737,000 | +11.7% | 12,090 | +9.9% | 0.12% | -6.2% |
| PSTH | Buy | PERSHING SQUARE TONTINE HLDG | $690,000 | +21.3% | 35,000 | +40.0% | 0.11% | +1.8% |
| Buy | ZILLOW GROUP INCnote 1.375% 9/0 | $685,000 | +20.8% | 325,000 | +62.5% | 0.11% | +0.9% | |
| F | Sell | FORD MTR CO DELcall | $680,000 | -8.5% | 48,000 | -4.0% | 0.11% | -23.6% |
| SSSS | Sell | SURO CAPITAL CORPput | $635,000 | -44.0% | 49,200 | -41.4% | 0.10% | -53.2% |
| Buy | CONMED CORPnote 2.625% 2/0 | $626,000 | +195.3% | 403,000 | +207.6% | 0.10% | +148.8% | |
| Buy | DICKS SPORTING GOODS INCnote 3.250% 4/1 | $581,000 | +400.9% | 158,000 | +305.1% | 0.09% | +327.3% | |
| GCMGW | Sell | GCM GROSVENOR INC*w exp 11/17/202 | $575,000 | -30.6% | 288,705 | -46.3% | 0.09% | -42.2% |
| INSG | INSEEGO CORPput | $488,000 | -34.0% | 73,200 | 0.0% | 0.08% | -44.8% | |
| INSG | INSEEGO CORP | $488,000 | -34.0% | 73,200 | 0.0% | 0.08% | -44.8% | |
| IGICW | Buy | INTL GNRL INSURANCE HLDNGS L*w exp 03/17/202 | $458,000 | -28.3% | 649,842 | +1.7% | 0.07% | -40.3% |
| TBT | PROSHARES TRcall | $440,000 | -2.7% | 24,000 | 0.0% | 0.07% | -19.3% | |
| QS | New | QUANTUMSCAPE CORPcall | $417,000 | – | 17,000 | +100.0% | 0.07% | – |
| New | DATCHAT INC*w exp 08/13/202 | $393,000 | – | 45,658 | +100.0% | 0.06% | – | |
| PAAS | Sell | PAN AMERN SILVER CORPcall | $384,000 | -40.3% | 16,500 | -26.7% | 0.06% | -50.4% |
| New | ASHFORD HOSPITALITY TR INCcall | $383,000 | – | 26,000 | +100.0% | 0.06% | – | |
| KLRWS | Sell | KALEYRA INC*w exp 11/25/202 | $373,000 | -19.1% | 136,046 | -5.5% | 0.06% | -32.6% |
| NKLA | Sell | NIKOLA CORPput | $373,000 | -54.1% | 35,000 | -22.2% | 0.06% | -62.0% |
| New | ATLAS AIR WORLDWIDE HLDGS INnote 2.250% 6/0 | $353,000 | – | 300,000 | +100.0% | 0.06% | – | |
| PTON | Sell | PELOTON INTERACTIVE INCput | $348,000 | -43.9% | 4,000 | -20.0% | 0.06% | -53.3% |
| Buy | SAILPOINT TECHNOLOGIES HLDGSnote 0.125% 9/1 | $322,000 | +585.1% | 200,000 | +700.0% | 0.05% | +477.8% | |
| Buy | ALTAIR ENGR INCnote 0.250% 6/0 | $312,000 | +33.9% | 201,000 | +34.0% | 0.05% | +13.3% | |
| Buy | VIAVI SOLUTIONS INCnote 1.000% 3/0 | $293,000 | +37.6% | 224,000 | +49.3% | 0.05% | +17.1% | |
| Buy | INSULET CORPnote 0.375% 9/0 | $278,000 | +36.3% | 199,000 | +32.7% | 0.04% | +12.5% | |
| ASTRW | New | ASTRA SPACE INC*w exp 08/04/202 | $249,000 | – | 104,873 | +100.0% | 0.04% | – |
| DSKEW | Buy | DASEKE INC*w exp 02/27/202 | $218,000 | +86.3% | 1,063,101 | +4.9% | 0.04% | +52.2% |
| TESLA INCnote 2.000% 5/1 | $212,000 | +14.0% | 17,000 | 0.0% | 0.03% | -5.6% | ||
| NRAC | New | NOBLE ROCK ACQUISITION CORP | $207,000 | – | 21,324 | +100.0% | 0.03% | – |
| PCT | Sell | PURECYCLE TECHNOLOGIES INCput | $212,000 | -78.1% | 16,000 | -61.0% | 0.03% | -81.9% |
| TRKAW | Buy | TROIKA MEDIA GROUP INC*w exp 04/13/202 | $202,000 | -54.0% | 565,647 | +1.7% | 0.03% | -61.2% |
| CCAC | CITIC CAPITAL ACQUISITION CO | $198,000 | +0.5% | 19,900 | 0.0% | 0.03% | -15.8% | |
| FPAC | FAR PEAK ACQUISITION CORP | $198,000 | 0.0% | 19,900 | 0.0% | 0.03% | -15.8% | |
| MUDS | Sell | MUDRICK CAPITAL ACQU CORP IIput | $199,000 | -60.0% | 20,000 | -50.0% | 0.03% | -67.0% |
| DMSWS | Sell | DIGITAL MEDIA SOLUTIONS INC*w exp 07/15/202 | $199,000 | -74.2% | 262,122 | -53.0% | 0.03% | -78.5% |
| New | BLACKSKY TECHNOLOGY INC*w exp 10/30/202 | $200,000 | – | 126,760 | +100.0% | 0.03% | – | |
| New | GLOBAL CONSUMER ACQUISITN CO | $198,000 | – | 20,000 | +100.0% | 0.03% | – | |
| NBST | NEWBURY STREET ACQUISITN COR | $194,000 | +0.5% | 20,000 | 0.0% | 0.03% | -16.2% | |
| GROMW | Buy | GROM SOCIAL ENTERPRISES INC*w exp 06/17/202 | $184,000 | +104.4% | 161,100 | +78.2% | 0.03% | +76.5% |
| CLVRW | Buy | CLEVER LEAVES HOLDINGS INC*w exp 12/18/202 | $187,000 | +1.6% | 167,350 | +89.0% | 0.03% | -16.7% |
| PTOC | PINE TECHNOLOGY ACQUISITN CO | $169,000 | -0.6% | 17,502 | 0.0% | 0.03% | -18.2% | |
| MLAC | MALACCA STRAITS ACQUISITION | $162,000 | +0.6% | 16,269 | 0.0% | 0.03% | -16.1% | |
| ALTU | ALTITUDE ACQUISITION CORP | $161,000 | 0.0% | 16,400 | 0.0% | 0.03% | -16.1% | |
| PSAG | PROPERTY SOLUTIONS ACQUISITI | $155,000 | 0.0% | 16,000 | 0.0% | 0.02% | -16.7% | |
| RCLF | ROSECLIFF ACQUISITION CORP I | $156,000 | 0.0% | 16,077 | 0.0% | 0.02% | -16.7% | |
| CONX | CONX CORP | $147,000 | -0.7% | 15,044 | 0.0% | 0.02% | -17.2% | |
| GAPA | G&P ACQUISITION CORP | $148,000 | +1.4% | 15,000 | 0.0% | 0.02% | -14.3% | |
| TWNKW | Sell | HOSTESS BRANDS INC*w exp 11/04/202 | $148,000 | -97.1% | 49,603 | -97.7% | 0.02% | -97.6% |
| PIPP | PINE IS ACQUISITION CORPcl a | $146,000 | 0.0% | 15,000 | 0.0% | 0.02% | -14.3% | |
| New | MACONDRAY CAP ACQUISITN CORP | $148,000 | – | 15,000 | +100.0% | 0.02% | – | |
| PTIXW | Sell | PROTAGENIC THERAPEUTICS INC*w exp 04/13/202 | $143,000 | -45.0% | 364,791 | -0.3% | 0.02% | -54.0% |
| TMKR | TASTEMAKER ACQUISITION CORP | $143,000 | +1.4% | 14,500 | 0.0% | 0.02% | -14.8% | |
| New | WORKSPORT LTD*w exp 06/01/202 | $134,000 | – | 73,000 | +100.0% | 0.02% | – | |
| DWIN | DELWINDS INS ACQUISITION COR | $133,000 | +0.8% | 13,500 | 0.0% | 0.02% | -15.4% | |
| BCTXW | Sell | BRIACELL THERAPEUTICS CORP*w exp 02/24/202 | $130,000 | +124.1% | 27,000 | -15.6% | 0.02% | +90.9% |
| SDS | Sell | PROSHARES TRultrashrt s&p500 | $124,000 | -45.1% | 14,000 | -44.0% | 0.02% | -54.5% |
| New | GLADSTONE ACQUISITION CORPunit 04/01/2024 | $115,000 | – | 11,329 | +100.0% | 0.02% | – | |
| ASAQ | ATLANTIC AVE ACQUISITION COR | $116,000 | +0.9% | 11,850 | 0.0% | 0.02% | -13.6% | |
| XPOA | DPCM CAP INC | $117,000 | -1.7% | 12,000 | 0.0% | 0.02% | -17.4% | |
| ATSPT | ARCHIMEDES TECH SPAC PARTNRunit 99/99/9999 | $108,000 | +0.9% | 11,000 | 0.0% | 0.02% | -14.3% | |
| New | PARABELLUM ACQUISITION CORPunit 99/99/9999 | $110,000 | – | 11,000 | +100.0% | 0.02% | – | |
| NG | NOVAGOLD RES INCcall | $108,000 | -14.3% | 15,700 | 0.0% | 0.02% | -25.0% | |
| New | JAWS HURRICANE ACQUISITN COR | $108,000 | – | 11,076 | +100.0% | 0.02% | – | |
| New | SEQLL INC*w exp 08/31/202 | $113,000 | – | 107,045 | +100.0% | 0.02% | – | |
| New | CLARUS THERAPEUTICS HLDNGS I*w exp 08/11/202 | $105,000 | – | 139,840 | +100.0% | 0.02% | – | |
| New | HHG CAPITAL CORPORATIONunit 02/25/2026 | $103,000 | – | 10,092 | +100.0% | 0.02% | – | |
| New | EZFILL HOLDINGS INC | $102,000 | – | 25,000 | +100.0% | 0.02% | – | |
| New | HUMACYTE INC*w exp 09/21/202 | $103,000 | – | 35,662 | +100.0% | 0.02% | – | |
| ZNTE | ZANITE ACQUISITION CORP | $107,000 | 0.0% | 10,600 | 0.0% | 0.02% | -19.0% | |
| New | JATT ACQUISITION CORP | $99,000 | – | 10,000 | +100.0% | 0.02% | – | |
| New | CELULARITY INC*w exp 05/24/202 | $98,000 | – | 85,147 | +100.0% | 0.02% | – | |
| Sell | AMERICAN EAGLE OUTFITTERS INnote 3.750% 4/1 | $98,000 | -76.8% | 32,000 | -67.0% | 0.02% | -80.5% | |
| OPHC | Sell | OPTIMUMBANK HLDGS INC | $98,000 | -26.9% | 19,000 | -31.6% | 0.02% | -38.5% |
| New | ELLIOTT OPPORTUNITY II CORP | $97,000 | – | 10,000 | +100.0% | 0.02% | – | |
| New | CHAVANT CAPITAL ACQUISITN COordinary shares | $99,000 | – | 10,000 | +100.0% | 0.02% | – | |
| BMTXWS | Buy | BM TECHNOLOGIES INC*w exp 01/04/202 | $96,000 | -18.6% | 64,160 | +39.6% | 0.02% | -30.4% |
| VGZ | New | VISTA GOLD CORP | $91,000 | – | 126,219 | +100.0% | 0.02% | – |
| DTSTW | Sell | DATA STORAGE CORP*w exp 05/13/202 | $93,000 | -23.1% | 92,837 | -6.6% | 0.02% | -34.8% |
| New | DERMATA THERAPEUTICS INC*w exp 08/13/202 | $85,000 | – | 100,000 | +100.0% | 0.01% | – | |
| BTRSW | Sell | BTRS HOLDINGS INC*w exp 01/12/202 | $85,000 | -34.6% | 32,400 | -1.8% | 0.01% | -44.0% |
| FREEW | WHOLE EARTH BRANDS INC*w exp 06/25/202 | $78,000 | -29.7% | 50,000 | 0.0% | 0.01% | -40.9% | |
| New | SPIRE GLOBAL INC*w exp 01/01/203 | $77,000 | – | 45,370 | +100.0% | 0.01% | – | |
| VRMEW | Buy | VERIFYME INC*w exp 06/22/202 | $77,000 | +48.1% | 57,158 | +54.0% | 0.01% | +20.0% |
| APWS | Sell | AMPCO-PITTSBURG CORP*w exp 08/01/202 | $71,000 | -10.1% | 84,800 | -3.1% | 0.01% | -20.0% |
| ALFIW | Sell | ALFI INC*w exp 04/29/202 | $75,000 | -86.7% | 20,017 | -63.5% | 0.01% | -89.0% |
| HPKEW | New | HIGHPEAK ENERGY INC*w exp 08/21/202 | $66,000 | – | 29,479 | +100.0% | 0.01% | – |
| JRSH | New | JERASH HLDGS US INC | $67,000 | – | 10,000 | +100.0% | 0.01% | – |
| HCDIW | Sell | HARBOR CUSTOM DEVELOPMENT IN*w exp 05/09/202 | $54,000 | -28.9% | 96,000 | -20.2% | 0.01% | -40.0% |
| New | PETVIVO HLDGS INC*w exp 08/13/202 | $50,000 | – | 65,180 | +100.0% | 0.01% | – | |
| DBGIW | Buy | DIGITAL BRANDS GROUP INC*w exp 05/01/202 | $52,000 | -40.9% | 67,900 | +31.1% | 0.01% | -52.9% |
| GOVXW | Buy | GEOVAX LABS INC*w exp 09/29/202 | $49,000 | +122.7% | 35,000 | +114.7% | 0.01% | +100.0% |
| AUUDW | Buy | AUDDIA INC*w exp 10/17/202 | $52,000 | -13.3% | 69,800 | +118.1% | 0.01% | -33.3% |
| IKT | Sell | INHIBIKASE THERAPEUTICS INC | $49,000 | -80.6% | 26,000 | -71.1% | 0.01% | -83.7% |
| OSATW | Sell | ORBSAT CORP*w exp 04/29/202 | $45,000 | -30.8% | 16,000 | -56.6% | 0.01% | -46.2% |
| ALZN | New | ALZAMEND NEURO INC | $43,000 | – | 14,000 | +100.0% | 0.01% | – |
| Sell | NUANCE COMMUNICATIONS INCdbcv 1.000%12/1 | $46,000 | -99.6% | 20,000 | -99.7% | 0.01% | -99.7% | |
| RCAT | New | RED CAT HLDGS INC | $35,000 | – | 10,000 | +100.0% | 0.01% | – |
| LEGOW | New | LEGATO MERGER CORP*w exp 12/31/202 | $38,000 | – | 15,000 | +100.0% | 0.01% | – |
| KRBP | Sell | KIROMIC BIOPHARMA INC | $37,000 | -87.8% | 12,000 | -81.0% | 0.01% | -89.8% |
| VERBW | New | VERB TECHNOLOGY CO INC*w exp 03/14/202 | $38,000 | – | 55,157 | +100.0% | 0.01% | – |
| ZIVOW | Buy | ZIVO BIOSCIENCE INC*w exp 05/14/202 | $40,000 | -11.1% | 40,000 | +33.3% | 0.01% | -33.3% |
| PXS | Buy | PYXIS TANKERS INC | $38,000 | +72.7% | 50,000 | +100.0% | 0.01% | +50.0% |
| GOEVW | Sell | CANOO INC*w exp 12/21/202 | $28,000 | -77.8% | 15,000 | -64.3% | 0.01% | -79.2% |
| SHIP | New | SEANERGY MARITIME HLDGS CORP | $29,000 | – | 20,000 | +100.0% | 0.01% | – |
| New | COLISEUM ACQUISITION CORP | $30,000 | – | 15,000 | +100.0% | 0.01% | – | |
| NLSPW | Sell | NLS PHARMACEUTICS LTD*w exp 09/25/202 | $29,000 | -34.1% | 35,480 | -11.5% | 0.01% | -44.4% |
| IMACW | Buy | IMAC HLDGS INC*w exp 02/12/202 | $28,000 | -15.2% | 66,215 | +0.9% | 0.01% | -16.7% |
| SLNO | SOLENO THERAPEUTICS INC | $28,000 | -17.6% | 30,000 | 0.0% | 0.01% | -28.6% | |
| AGRIW | New | AGRIFORCE GROWING SYSTEMS LT*w exp 02/01/202 | $32,000 | – | 57,461 | +100.0% | 0.01% | – |
| ENTXW | ENTERA BIO LTD*w exp 07/02/202 | $23,000 | -48.9% | 45,001 | 0.0% | 0.00% | -55.6% | |
| SBEVWS | Buy | SPLASH BEVERAGE GROUP INC*w exp 99/99/999 | $24,000 | +60.0% | 44,912 | +232.4% | 0.00% | +33.3% |
| BFIIW | Sell | BURGERFI INTERNATIONAL INC*w exp 12/16/202 | $22,000 | -85.3% | 13,657 | -79.6% | 0.00% | -86.2% |
| CTRM | New | CASTOR MARITIME INC | $24,000 | – | 10,000 | +100.0% | 0.00% | – |
| PXSAW | Buy | PYXIS TANKERS INC*w exp 09/15/202 | $25,000 | +31.6% | 97,485 | +107.2% | 0.00% | 0.0% |
| New | INSPIRA TECHNOLOGIES OXY BHN*w exp 06/30/202 | $26,000 | – | 31,100 | +100.0% | 0.00% | – | |
| JUPW | New | JUPITER WELLNESS INC | $23,000 | – | 16,000 | +100.0% | 0.00% | – |
| New | GUARDFORCE AI CO LTD*w exp 09/01/202 | $19,000 | – | 23,250 | +100.0% | 0.00% | – | |
| SEAC | SEACHANGE INTL INC | $16,000 | -20.0% | 15,400 | 0.0% | 0.00% | -25.0% | |
| HYMCL | HYCROFT MINING HOLDING CORP*w exp 10/06/202 | $18,000 | -58.1% | 51,158 | 0.0% | 0.00% | -62.5% | |
| LIBERTY MEDIA CORP DELdeb 3.500% 1/1 | $16,000 | +6.7% | 12,968 | 0.0% | 0.00% | 0.0% | ||
| LIXTW | Buy | LIXTE BIOTECHNOLOGY HLDGS IN*w exp 01/01/202 | $20,000 | +81.8% | 35,996 | +150.8% | 0.00% | +50.0% |
| MILEW | New | METROMILE INC*w exp 02/09/202 | $17,000 | – | 20,000 | +100.0% | 0.00% | – |
| JOB | Sell | GEE GROUP INC | $14,000 | -54.8% | 30,000 | -44.4% | 0.00% | -66.7% |
| GMVDW | New | G MED INNOVATIONS HLDGS LTD*w exp 06/30/202 | $10,000 | – | 25,600 | +100.0% | 0.00% | – |
| MDGSW | Sell | MEDIGUS LTD*w exp 07/23/202 | $9,000 | -52.6% | 18,450 | -43.9% | 0.00% | -75.0% |
| NBSTW | NEWBURY STREET ACQUISITN COR*w exp 04/30/202 | $5,000 | -37.5% | 10,000 | 0.0% | 0.00% | -50.0% | |
| CRTDW | New | CREATD INC*w exp 09/15/202 | $9,000 | – | 13,131 | +100.0% | 0.00% | – |
| New | GLOBAL CONSUMER ACQUISITN CO*w exp 05/21/202 | $5,000 | – | 10,000 | +100.0% | 0.00% | – | |
| COMSW | Sell | COMSOVEREIGN HLDG CORP*w exp 12/18/202 | $7,000 | -82.9% | 16,660 | -52.4% | 0.00% | -87.5% |
| GXGXW | Exit | GX ACQUISITION CORP*w exp 05/24/202 | $0 | – | -10,000 | -100.0% | -0.00% | – |
| Exit | ZILLOW GROUP INCnote 1.500% 7/0 | $0 | – | -15,000 | -100.0% | -0.00% | – | |
| PBLA | Exit | PANBELA THERAPEUTICS INC | $0 | – | -11,567 | -100.0% | -0.01% | – |
| ADVWW | Exit | ADVANTAGE SOLUTIONS INC*w exp 07/18/202 | $0 | – | -12,000 | -100.0% | -0.01% | – |
| Exit | WAYFAIR INCnote 1.000% 8/1 | $0 | – | -19,000 | -100.0% | -0.01% | – | |
| HCDI | Exit | HARBOR CUSTOM DEVELOPMENT IN | $0 | – | -15,583 | -100.0% | -0.01% | – |
| ASM | Exit | AVINO SILVER & GOLD MINES LT | $0 | – | -50,000 | -100.0% | -0.01% | – |
| Exit | BILIBILI INCnote 1.375% 4/0 | $0 | – | -15,000 | -100.0% | -0.01% | – | |
| SOS | Exit | SOS LIMITEDput | $0 | – | -26,900 | -100.0% | -0.02% | – |
| EOCWU | Exit | ELLIOTT OPPORTUNITY II CORPunit 99/99/9999 | $0 | – | -10,000 | -100.0% | -0.02% | – |
| HCNEU | Exit | JAWS HURRICANE ACQUISITN CORunit 06/08/2026 | $0 | – | -11,374 | -100.0% | -0.02% | – |
| SRNG | Exit | SOARING EAGLE ACQUISITION CO | $0 | – | -12,000 | -100.0% | -0.02% | – |
| VIH | Exit | VPC IMPACT ACQUISITION HLDNG | $0 | – | -11,815 | -100.0% | -0.02% | – |
| DILAU | Exit | DILA CAPITAL ACQUISITION CORunit 99/99/9999 | $0 | – | -12,465 | -100.0% | -0.02% | – |
| CLOV | Exit | CLOVER HEALTH INVESTMENTS COput | $0 | – | -10,000 | -100.0% | -0.03% | – |
| AVCT | Exit | AMERICAN VRTUAL CLOUD TECH I | $0 | – | -22,282 | -100.0% | -0.03% | – |
| Exit | PROOFPOINT INCnote 0.250% 8/1 | $0 | – | -109,000 | -100.0% | -0.03% | – | |
| GIWWU | Exit | GIGINTERNATIONAL1 INCunit 05/19/2026 | $0 | – | -14,400 | -100.0% | -0.03% | – |
| MITAU | Exit | COLISEUM ACQUISITION CORPunit 04/02/2028 | $0 | – | -15,000 | -100.0% | -0.03% | – |
| ACIC | Exit | ATLAS CREST INVT CORP | $0 | – | -15,200 | -100.0% | -0.03% | – |
| CVM | Exit | CEL-SCI CORPput | $0 | – | -19,000 | -100.0% | -0.03% | – |
| CLOVW | Exit | CLOVER HEALTH INVESTMENTS CO*w exp 04/21/202 | $0 | – | -35,000 | -100.0% | -0.04% | – |
| GACQU | Exit | GLOBAL CONSUMER ACQUISITN COunit 05/21/2026 | $0 | – | -20,000 | -100.0% | -0.04% | – |
| CERE | Exit | CEREVEL THERAPEUTICS HLDNG Iput | $0 | – | -8,000 | -100.0% | -0.04% | – |
| GME | Exit | GAMESTOP CORP NEWput | $0 | – | -1,000 | -100.0% | -0.04% | – |
| GME | Exit | GAMESTOP CORP NEWcl a | $0 | – | -1,000 | -100.0% | -0.04% | – |
| Exit | WAYFAIR INCnote 0.375% 9/0 | $0 | – | -79,000 | -100.0% | -0.05% | – | |
| LPX | Exit | LOUISIANA PAC CORPput | $0 | – | -4,000 | -100.0% | -0.05% | – |
| MCAFU | Exit | MOUNTAIN CREST ACQUSITN CRPunit 06/29/2026 | $0 | – | -25,000 | -100.0% | -0.05% | – |
| AQNU | Exit | ALGONQUIN PWR UTILS CORPunit 99/99/9999 | $0 | – | -5,000 | -100.0% | -0.05% | – |
| Exit | HUBSPOT INCnote 0.375% 6/0 | $0 | – | -125,000 | -100.0% | -0.05% | – | |
| Exit | LIVEPERSON INCnote 0.750% 3/0 | $0 | – | -150,000 | -100.0% | -0.05% | – | |
| Exit | ETSY INCnote 3/0 | $0 | – | -51,000 | -100.0% | -0.06% | – | |
| VXX | Exit | BARCLAYS BANK PLCipth sr b s&p | $0 | – | -9,935 | -100.0% | -0.06% | – |
| Exit | COLONY STARWOOD HOMESnote 3.500% 1/1 | $0 | – | -212,000 | -100.0% | -0.07% | – | |
| GOEDWS | Exit | 1847 GOEDEKER INC*w exp 99/99/999 | $0 | – | -224,638 | -100.0% | -0.09% | – |
| Exit | ARBOR REALTY TRUST INCnote 5.250% 7/0 | $0 | – | -500,000 | -100.0% | -0.14% | – | |
| BB | Exit | BLACKBERRY LTDput | $0 | – | -69,000 | -100.0% | -0.16% | – |
| GFLU | Exit | GFL ENVIRONMENTAL INCunit 99/99/9999t | $0 | – | -12,130 | -100.0% | -0.18% | – |
| XOM | Exit | EXXON MOBIL CORPcall | $0 | – | -17,000 | -100.0% | -0.21% | – |
| CFXA | Exit | COLFAX CORPunit 01/15/2022t | $0 | – | -6,689 | -100.0% | -0.24% | – |
| Exit | NUANCE COMMUNICATIONS INCdebt 1.500%11/0 | $0 | – | -509,000 | -100.0% | -0.26% | – | |
| NVDA | Exit | NVIDIA CORPORATIONcall | $0 | – | -7,000 | -100.0% | -0.27% | – |
| Exit | RAPID7 INCnote 1.250% 8/0 | $0 | – | -755,000 | -100.0% | -0.33% | – | |
| Exit | ZYNGA INCnote 0.250% 6/0 | $0 | – | -1,249,000 | -100.0% | -0.33% | – | |
| ROKU | Exit | ROKU INCput | $0 | – | -4,000 | -100.0% | -0.36% | – |
| Exit | CREE INCnote 1.750% 5/0 | $0 | – | -1,000,000 | -100.0% | -0.42% | – | |
| AMC | Exit | AMC ENTMT HLDGS INCput | $0 | – | -44,000 | -100.0% | -0.48% | – |
| Exit | COUPA SOFTWARE INCnote 0.125% 6/1 | $0 | – | -1,500,000 | -100.0% | -0.50% | – | |
| WSC | Exit | WILLSCOT MOBIL MINI HLDNG COput | $0 | – | -96,000 | -100.0% | -0.52% | – |
| Exit | AMICUS THERAPEUTICS INCnote 3.000%12/1 | $0 | – | -2,800,000 | -100.0% | -0.86% | – | |
| Exit | BANDWIDTH INCnote 0.250% 3/0 | $0 | – | -3,000,000 | -100.0% | -0.95% | – | |
| MSFT | Exit | MICROSOFT CORPcall | $0 | – | -20,000 | -100.0% | -1.05% | – |
| Exit | TERADYNE INCnote 1.250%12/1 | $0 | – | -1,626,000 | -100.0% | -1.34% | – | |
| Exit | HANNON ARMSTRONG SUST INFR Cnote 4.125% 9/0 | $0 | – | -4,080,000 | -100.0% | -1.63% | – | |
| Exit | SERVICENOW INCnote 6/0 | $0 | – | -2,840,000 | -100.0% | -2.10% | – |
Original filings
The following EDGAR filing(s) were analyzed to create this report:
- View 13F-HR filed 2021-11-15
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.