$540 Million is the total value of Warberg Asset Management LLC's 200 reported holdings in Q4 2021. The portfolio turnover from Q3 2021 to Q4 2021 was 72.4% .
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| SPY | Sell | SPDR S&P 500 ETF TRput | $179,440,000 | -19.3% | 377,800 | -27.1% | 33.26% | -7.7% |
| NUANCE COMMUNICATIONS INCnote 1.250% 4/0 | $21,864,000 | +0.4% | 7,743,000 | 0.0% | 4.05% | +14.8% | ||
| PLUG PWR INCnote 3.750% 6/0 | $19,587,000 | +10.1% | 3,485,000 | 0.0% | 3.63% | +25.9% | ||
| Buy | ON SEMICONDUCTOR CORPnote 1.625%10/1 | $18,843,000 | +53.4% | 5,747,000 | +5.4% | 3.49% | +75.3% | |
| CLOUDFLARE INCnote 0.750% 5/1 | $17,538,000 | +16.2% | 5,000,000 | 0.0% | 3.25% | +32.8% | ||
| AVTRPRA | New | AVANTOR INC6.25 pfd cnv sr | $16,313,000 | – | 126,255 | +100.0% | 3.02% | – |
| DHRPRA | New | DANAHER CORPORATION4.75 mnd cv pfd | $16,043,000 | – | 7,312 | +100.0% | 2.97% | – |
| Sell | PALO ALTO NETWORKS INCnote 0.750% 7/0 | $11,797,000 | +13.4% | 5,622,000 | -1.7% | 2.19% | +29.6% | |
| Sell | RHnote 9/1 | $10,908,000 | -24.2% | 4,310,000 | -5.8% | 2.02% | -13.3% | |
| Buy | HERCULES CAPITAL INCdbcv 4.375% 2/0 | $10,643,000 | +154.3% | 10,304,000 | +157.3% | 1.97% | +190.6% | |
| Buy | ETSY INCnote 0.125%10/0 | $10,220,000 | +64.2% | 4,000,000 | +56.0% | 1.89% | +87.5% | |
| New | MICROCHIP TECHNOLOGY INC.note 1.625% 2/1 | $10,009,000 | – | 3,930,000 | +100.0% | 1.86% | – | |
| Buy | RHnote 6/1 | $9,840,000 | -15.8% | 3,432,000 | +0.7% | 1.82% | -3.7% | |
| Sell | SEA LTDnote 2.375%12/0 | $8,966,000 | -28.6% | 3,500,000 | -0.9% | 1.66% | -18.3% | |
| SNAP INCnote 0.250% 5/0 | $8,886,000 | -34.9% | 4,000,000 | 0.0% | 1.65% | -25.6% | ||
| CHKEW | Buy | CHESAPEAKE ENERGY CORP*w exp 99/99/999 | $8,396,000 | +95.9% | 210,101 | +78.1% | 1.56% | +123.9% |
| QQQ | Sell | INVESCO QQQ TRput | $8,076,000 | -9.8% | 20,300 | -18.8% | 1.50% | +3.2% |
| New | STARWOOD WAYPOINT HOMESnote 3.500% 1/1 | $6,522,000 | – | 3,275,000 | +100.0% | 1.21% | – | |
| Buy | MERCADOLIBRE INCnote 2.000% 8/1 | $6,442,000 | -2.8% | 2,075,000 | +19.7% | 1.19% | +11.1% | |
| WAYFAIR INCnote 1.125%11/0 | $6,236,000 | -22.1% | 3,555,000 | 0.0% | 1.16% | -10.9% | ||
| New | NOVA LTDnote 10/1 | $5,483,000 | – | 2,760,000 | +100.0% | 1.02% | – | |
| New | LUMENTUM HLDGS INCnote 0.250% 3/1 | $5,329,000 | – | 3,000,000 | +100.0% | 0.99% | – | |
| New | LIBERTY MEDIA CORP DELnote 1.000% 1/3 | $5,172,000 | – | 3,000,000 | +100.0% | 0.96% | – | |
| Buy | KBR INCnote 2.500%11/0 | $4,424,000 | +33.1% | 2,321,000 | +12.4% | 0.82% | +52.1% | |
| Buy | ZENDESK INCnote 0.250% 3/1 | $4,378,000 | -0.4% | 2,584,000 | +10.0% | 0.81% | +13.7% | |
| Sell | WORKDAY INCnote 0.250%10/0 | $4,373,000 | +2.1% | 2,346,000 | -6.2% | 0.81% | +16.5% | |
| MIDDLEBY CORPnote 1.000% 9/0 | $4,168,000 | +12.1% | 2,600,000 | 0.0% | 0.77% | +28.0% | ||
| ZILLOW GROUP INCnote 0.750% 9/0 | $3,822,000 | -24.5% | 2,450,000 | 0.0% | 0.71% | -13.8% | ||
| CHKEZ | New | CHESAPEAKE ENERGY CORP*w exp 99/99/999 | $3,815,000 | – | 106,250 | +100.0% | 0.71% | – |
| New | II-VI INCnote 0.250% 9/0 | $3,642,000 | – | 2,460,000 | +100.0% | 0.68% | – | |
| Buy | Q2 HLDGS INCnote 0.750% 2/1 | $3,444,000 | +3.4% | 2,400,000 | +3.9% | 0.64% | +18.1% | |
| VARONIS SYS INCnote 1.250% 8/1 | $3,435,000 | -16.5% | 2,000,000 | 0.0% | 0.64% | -4.5% | ||
| New | HANNON ARMSTRONG SUST INFR Cnote 8/1 | $3,300,000 | – | 2,782,000 | +100.0% | 0.61% | – | |
| Sell | AKAMAI TECHNOLOGIES INCnote 0.125% 5/0 | $3,221,000 | +6.1% | 2,452,000 | -1.9% | 0.60% | +21.3% | |
| Buy | RAMBUS INC DELnote 1.375% 2/0 | $3,105,000 | +151.4% | 1,977,000 | +102.4% | 0.58% | +187.5% | |
| AVGOP | New | BROADCOM INC8% mcnv pfd sr a | $3,057,000 | – | 1,473 | +100.0% | 0.57% | – |
| TSLA | Sell | TESLA INCput | $2,748,000 | -64.6% | 2,600 | -74.0% | 0.51% | -59.5% |
| AAPL | Sell | APPLE INCput | $2,681,000 | +8.3% | 15,100 | -13.7% | 0.50% | +23.6% |
| WTRU | Buy | ESSENTIAL UTILS INCunit 04/30/2022 | $2,622,000 | +27.0% | 40,220 | +11.8% | 0.49% | +45.1% |
| Buy | FTI CONSULTING INCnote 2.000% 8/1 | $2,515,000 | +12.5% | 1,617,000 | +1.3% | 0.47% | +28.7% | |
| SPY | Buy | SPDR S&P 500 ETF TRcall | $2,422,000 | +12.9% | 5,100 | +2.0% | 0.45% | +29.0% |
| Buy | SOUTHWEST AIRLS COnote 1.250% 5/0 | $2,392,000 | -6.2% | 1,791,000 | +5.0% | 0.44% | +7.0% | |
| Buy | ALTAIR ENGR INCnote 0.250% 6/0 | $2,051,000 | +557.4% | 1,201,000 | +497.5% | 0.38% | +645.1% | |
| New | CARNIVAL CORPnote 5.750% 4/0 | $2,033,000 | – | 960,000 | +100.0% | 0.38% | – | |
| NEEPRO | Sell | NEXTERA ENERGY INCunit 09/01/2022s | $2,034,000 | -27.3% | 29,867 | -37.6% | 0.38% | -17.0% |
| CHKEL | CHESAPEAKE ENERGY CORP*w exp 09/02/202 | $2,031,000 | +12.0% | 62,000 | 0.0% | 0.38% | +27.9% | |
| BLACKLINE INCnote 0.125% 8/0 | $2,017,000 | -10.2% | 1,339,000 | 0.0% | 0.37% | +2.7% | ||
| Buy | NICE SYS INCnote 1.250% 1/1 | $1,994,000 | +9.1% | 547,000 | +2.1% | 0.37% | +25.0% | |
| Sell | BLOCK INCnote 0.125% 3/0 | $1,846,000 | -42.5% | 1,241,000 | -21.5% | 0.34% | -34.4% | |
| GFLU | New | GFL ENVIRONMENTAL INCunit 99/99/9999t | $1,795,000 | – | 20,641 | +100.0% | 0.33% | – |
| HTZZW | New | HERTZ GLOBAL HLDGS INC*w exp 06/30/205 | $1,780,000 | – | 111,621 | +100.0% | 0.33% | – |
| HCI GROUP INCnote 4.250% 3/0 | $1,651,000 | -24.4% | 1,194,000 | 0.0% | 0.31% | -13.6% | ||
| HD | New | HOME DEPOT INCcall | $1,536,000 | – | 3,700 | +100.0% | 0.28% | – |
| New | SERVICENOW INCnote 6/0 | $1,443,000 | – | 300,000 | +100.0% | 0.27% | – | |
| SABRP | New | SABRE CORP6.50% conv pfd a | $1,400,000 | – | 12,194 | +100.0% | 0.26% | – |
| OXYWS | New | OCCIDENTAL PETE CORP*w exp 08/03/202 | $1,373,000 | – | 108,885 | +100.0% | 0.25% | – |
| TBT | Buy | PROSHARES TRcall | $1,098,000 | +149.5% | 65,000 | +170.8% | 0.20% | +185.9% |
| PTC | New | PTC INCput | $993,000 | – | 8,200 | +100.0% | 0.18% | – |
| MUDS | Sell | MUDRICK CAPITAL ACQU CORP II | $913,000 | -60.3% | 91,856 | -60.3% | 0.17% | -54.7% |
| IIPR | Sell | INNOVATIVE INDL PPTYS INCput | $894,000 | -54.0% | 3,400 | -59.5% | 0.17% | -47.3% |
| New | SILICON LABORATORIES INCnote 0.625% 6/1 | $834,000 | – | 475,000 | +100.0% | 0.16% | – | |
| VXX | Sell | BARCLAYS BANK PLCcall | $826,000 | -50.5% | 44,600 | -25.7% | 0.15% | -43.5% |
| Buy | ATLAS AIR WORLDWIDE HLDGS INnote 2.250% 6/0 | $746,000 | +111.3% | 581,000 | +93.7% | 0.14% | +142.1% | |
| DASH | Sell | DOORDASH INCput | $700,000 | -81.1% | 4,700 | -73.9% | 0.13% | -78.4% |
| COIN | New | COINBASE GLOBAL INCput | $656,000 | – | 2,600 | +100.0% | 0.12% | – |
| GDX | Sell | VANECK ETF TRUSTcall | $650,000 | -59.9% | 20,300 | -63.1% | 0.12% | -54.4% |
| IIVIP | New | II-VI INC6% conv pfd a | $640,000 | – | 2,262 | +100.0% | 0.12% | – |
| SSSS | SURO CAPITAL CORPput | $637,000 | +0.3% | 49,200 | 0.0% | 0.12% | +14.6% | |
| IYR | New | ISHARES TRput | $592,000 | – | 5,100 | +100.0% | 0.11% | – |
| PSTH | Sell | PERSHING SQUARE TONTINE HLDG | $592,000 | -14.2% | 30,001 | -14.3% | 0.11% | -1.8% |
| AVGO | New | BROADCOM INC | $581,000 | – | 873 | +100.0% | 0.11% | – |
| DICKS SPORTING GOODS INCnote 3.250% 4/1 | $560,000 | -3.6% | 158,000 | 0.0% | 0.10% | +10.6% | ||
| PAVMZ | Sell | PAVMED INC*w exp 04/30/202 | $543,000 | -82.5% | 339,517 | -23.9% | 0.10% | -79.9% |
| SLV | Sell | ISHARES SILVER TRcall | $542,000 | -76.0% | 25,200 | -77.1% | 0.10% | -72.7% |
| New | SIXTH STREET SPECIALTY LENDNnote 4.500% 8/0 | $529,000 | – | 415,000 | +100.0% | 0.10% | – | |
| ZILLOW GROUP INCnote 1.375% 9/0 | $524,000 | -23.5% | 325,000 | 0.0% | 0.10% | -12.6% | ||
| New | LUCID GROUP INCput | $521,000 | – | 13,700 | +100.0% | 0.10% | – | |
| Sell | CONMED CORPnote 2.625% 2/0 | $483,000 | -22.8% | 290,000 | -28.0% | 0.09% | -11.8% | |
| TTD | New | THE TRADE DESK INCput | $467,000 | – | 5,100 | +100.0% | 0.09% | – |
| BMTXWS | Buy | BM TECHNOLOGIES INC*w exp 01/04/202 | $442,000 | +360.4% | 236,415 | +268.5% | 0.08% | +412.5% |
| KLRWS | Buy | KALEYRA INC*w exp 11/25/202 | $434,000 | +16.4% | 182,270 | +34.0% | 0.08% | +33.3% |
| TMV | Sell | DIREXION SHS ETF TRcall | $414,000 | -55.7% | 7,600 | -49.3% | 0.08% | -49.3% |
| MRNA | Sell | MODERNA INCput | $406,000 | -88.3% | 1,600 | -82.2% | 0.08% | -86.7% |
| New | ATLAS AIR WORLDWIDE HLDGS INnote 1.875% 6/0 | $389,000 | – | 239,000 | +100.0% | 0.07% | – | |
| MRNA | New | MODERNA INC | $381,000 | – | 1,501 | +100.0% | 0.07% | – |
| SAILPOINT TECHNOLOGIES HLDGSnote 0.125% 9/1 | $356,000 | +10.6% | 200,000 | 0.0% | 0.07% | +26.9% | ||
| NEN | Sell | NEW ENGLAND RLTY ASSOC LTD Pdepositry rcpt | $339,000 | -54.0% | 5,001 | -58.6% | 0.06% | -47.5% |
| VIAVI SOLUTIONS INCnote 1.000% 3/0 | $317,000 | +8.2% | 224,000 | 0.0% | 0.06% | +22.9% | ||
| New | STRAN & COMPANY INC*w exp 11/01/202 | $318,000 | – | 281,123 | +100.0% | 0.06% | – | |
| CTLP | New | CANTALOUPE INCcall | $295,000 | – | 33,200 | +100.0% | 0.06% | – |
| IGICW | Sell | INTL GNRL INSURANCE HLDNGS L*w exp 03/17/202 | $256,000 | -44.1% | 341,391 | -47.5% | 0.05% | -36.5% |
| YCBDPRA | New | CBDMD INC8% ser a cum pfd | $227,000 | – | 38,000 | +100.0% | 0.04% | – |
| CAR | New | AVIS BUDGET GROUPput | $228,000 | – | 1,100 | +100.0% | 0.04% | – |
| New | TERADYNE INCnote 1.250%12/1 | $222,000 | – | 43,000 | +100.0% | 0.04% | – | |
| F | New | FORD MTR CO DELput | $210,000 | – | 10,100 | +100.0% | 0.04% | – |
| PXSAP | New | PYXIS TANKERS INC7.75% cnv pfd a | $210,000 | – | 15,307 | +100.0% | 0.04% | – |
| NRAC | NOBLE ROCK ACQUISITION CORP | $207,000 | 0.0% | 21,324 | 0.0% | 0.04% | +11.8% | |
| GLOBAL CONSUMER ACQUISITN CO | $198,000 | 0.0% | 20,000 | 0.0% | 0.04% | +15.6% | ||
| NBST | NEWBURY STREET ACQUISITN COR | $194,000 | 0.0% | 20,000 | 0.0% | 0.04% | +16.1% | |
| RVNC | New | REVANCE THERAPEUTICS INCcall | $178,000 | – | 10,900 | +100.0% | 0.03% | – |
| SSSS | Sell | SURO CAPITAL CORP | $174,000 | -79.2% | 13,398 | -79.4% | 0.03% | -76.5% |
| PTOC | PINE TECHNOLOGY ACQUISITN CO | $172,000 | +1.8% | 17,502 | 0.0% | 0.03% | +18.5% | |
| MLAC | MALACCA STRAITS ACQUISITION | $166,000 | +2.5% | 16,269 | 0.0% | 0.03% | +19.2% | |
| ALTU | ALTITUDE ACQUISITION CORP | $162,000 | +0.6% | 16,400 | 0.0% | 0.03% | +15.4% | |
| GCMGW | Sell | GCM GROSVENOR INC*w exp 11/17/202 | $164,000 | -71.5% | 109,001 | -62.2% | 0.03% | -67.7% |
| RCLF | ROSECLIFF ACQUISITION CORP I | $158,000 | +1.3% | 16,077 | 0.0% | 0.03% | +16.0% | |
| PSAG | PROPERTY SOLUTIONS ACQUISITI | $155,000 | 0.0% | 16,000 | 0.0% | 0.03% | +16.0% | |
| CONX | CONX CORP | $148,000 | +0.7% | 15,044 | 0.0% | 0.03% | +12.5% | |
| TMKR | TASTEMAKER ACQUISITION CORP | $143,000 | 0.0% | 14,500 | 0.0% | 0.03% | +17.4% | |
| COLISEUM ACQUISITION CORP | $146,000 | +386.7% | 15,000 | 0.0% | 0.03% | +440.0% | ||
| GOEVW | Buy | CANOO INC*w exp 12/21/202 | $143,000 | +410.7% | 69,588 | +363.9% | 0.03% | +440.0% |
| GAPA | G&P ACQUISITION CORP | $147,000 | -0.7% | 15,000 | 0.0% | 0.03% | +12.5% | |
| NG | Buy | NOVAGOLD RES INCcall | $144,000 | +33.3% | 21,000 | +33.8% | 0.03% | +50.0% |
| MACONDRAY CAP ACQUISITN CORP | $148,000 | 0.0% | 15,000 | 0.0% | 0.03% | +12.5% | ||
| New | PEPPERLIME HEALTH ACQUSTN CO | $139,000 | – | 14,136 | +100.0% | 0.03% | – | |
| New | BOXED INC*w exp 12/22/202 | $139,000 | – | 116,826 | +100.0% | 0.03% | – | |
| OSATW | Buy | ORBSAT CORP*w exp 04/29/202 | $134,000 | +197.8% | 119,654 | +647.8% | 0.02% | +257.1% |
| DWIN | DELWINDS INS ACQUISITION COR | $134,000 | +0.8% | 13,500 | 0.0% | 0.02% | +13.6% | |
| New | SPREE ACQUISITION CORP 1 LTDunit 99/99/9999 | $130,000 | – | 13,000 | +100.0% | 0.02% | – | |
| New | LARKSPUR HEALTH ACQUISITIONunit 12/20/2026 | $120,000 | – | 12,000 | +100.0% | 0.02% | – | |
| XPOA | DPCM CAP INC | $118,000 | +0.9% | 12,000 | 0.0% | 0.02% | +15.8% | |
| New | NEXTNAV INC*w exp 10/28/202 | $112,000 | – | 66,000 | +100.0% | 0.02% | – | |
| New | ENVISTA HOLDINGS CORPORATIONnote 2.375% 6/0 | $111,000 | – | 50,000 | +100.0% | 0.02% | – | |
| ASAQ | ATLANTIC AVE ACQUISITION COR | $116,000 | 0.0% | 11,850 | 0.0% | 0.02% | +10.5% | |
| New | GLADSTONE ACQUISITION CORP | $108,000 | – | 10,828 | +100.0% | 0.02% | – | |
| ATSPT | ARCHIMEDES TECH SPAC PARTNRunit 99/99/9999 | $109,000 | +0.9% | 11,000 | 0.0% | 0.02% | +11.1% | |
| JAWS HURRICANE ACQUISITN COR | $109,000 | +0.9% | 11,076 | 0.0% | 0.02% | +11.1% | ||
| New | AROGO CAPITAL ACQUISITION COunit 99/99/9999 | $106,000 | – | 10,600 | +100.0% | 0.02% | – | |
| Sell | BLOCK INCnote 0.500% 5/1 | $104,000 | -98.1% | 50,000 | -97.2% | 0.02% | -97.9% | |
| New | AETHERIUM ACQUISITION CORPunit 12/21/2026 | $100,000 | – | 10,000 | +100.0% | 0.02% | – | |
| CHAVANT CAPITAL ACQUISITN COordinary shares | $98,000 | -1.0% | 10,000 | 0.0% | 0.02% | +12.5% | ||
| Sell | ASHFORD HOSPITALITY TR INCcall | $96,000 | -74.9% | 10,000 | -61.5% | 0.02% | -71.0% | |
| ELLIOTT OPPORTUNITY II CORP | $98,000 | +1.0% | 10,000 | 0.0% | 0.02% | +12.5% | ||
| JATT ACQUISITION CORP | $99,000 | 0.0% | 10,000 | 0.0% | 0.02% | +12.5% | ||
| DSKEW | Sell | DASEKE INC*w exp 02/27/202 | $96,000 | -56.0% | 717,408 | -32.5% | 0.02% | -48.6% |
| OWLWS | New | BLUE OWL CAPITAL INC*w exp 05/19/202 | $95,000 | – | 20,311 | +100.0% | 0.02% | – |
| AMERICAN EAGLE OUTFITTERS INnote 3.750% 4/1 | $97,000 | -1.0% | 32,000 | 0.0% | 0.02% | +12.5% | ||
| HPKEW | Sell | HIGHPEAK ENERGY INC*w exp 08/21/202 | $89,000 | +34.8% | 17,166 | -41.8% | 0.02% | +45.5% |
| New | PASITHEA THERAPEUTICS CORP*w exp 08/12/202 | $81,000 | – | 218,920 | +100.0% | 0.02% | – | |
| DTSTW | Sell | DATA STORAGE CORP*w exp 05/13/202 | $72,000 | -22.6% | 88,300 | -4.9% | 0.01% | -13.3% |
| New | HARBOR CUSTOM DEVELOPMENT IN*w exp 10/04/202 | $69,000 | – | 89,743 | +100.0% | 0.01% | – | |
| PTIXW | Sell | PROTAGENIC THERAPEUTICS INC*w exp 04/13/202 | $69,000 | -51.7% | 181,534 | -50.2% | 0.01% | -43.5% |
| New | BIOFRONTERA INC*w exp 10/27/202 | $67,000 | – | 18,487 | +100.0% | 0.01% | – | |
| VEV | New | VICINITY MOTOR CORP | $65,000 | – | 18,501 | +100.0% | 0.01% | – |
| VRMEW | VERIFYME INC*w exp 06/22/202 | $65,000 | -15.6% | 57,158 | 0.0% | 0.01% | 0.0% | |
| OPHC | Sell | OPTIMUMBANK HLDGS INC | $67,000 | -31.6% | 17,114 | -9.9% | 0.01% | -25.0% |
| New | NEUROSENSE THERAPEUTICS LTD*w exp 99/99/999 | $61,000 | – | 66,606 | +100.0% | 0.01% | – | |
| FREEW | WHOLE EARTH BRANDS INC*w exp 06/25/202 | $59,000 | -24.4% | 50,000 | 0.0% | 0.01% | -15.4% | |
| TRKAW | Sell | TROIKA MEDIA GROUP INC*w exp 04/13/202 | $53,000 | -73.8% | 219,043 | -61.3% | 0.01% | -69.7% |
| VGZ | Sell | VISTA GOLD CORP | $55,000 | -39.6% | 78,110 | -38.1% | 0.01% | -33.3% |
| KRBP | Buy | KIROMIC BIOPHARMA INC | $52,000 | +40.5% | 33,815 | +181.8% | 0.01% | +66.7% |
| New | HANNON ARMSTRONG SUST INFR Cnote 4.125% 9/0 | $53,000 | – | 27,000 | +100.0% | 0.01% | – | |
| Sell | PENN NATL GAMING INCnote 2.750% 5/1 | $47,000 | -98.4% | 20,000 | -97.8% | 0.01% | -98.1% | |
| New | ENGINE GAMING AND MEDIA INCcall | $46,000 | – | 15,000 | +100.0% | 0.01% | – | |
| New | CINGULATE INC*w exp 12/03/202 | $40,000 | – | 56,667 | +100.0% | 0.01% | – | |
| Sell | CELULARITY INC*w exp 05/24/202 | $37,000 | -62.2% | 43,603 | -48.8% | 0.01% | -56.2% | |
| New | NEUROSENSE THERAPEUTICS LTDordinary shares | $38,000 | – | 15,501 | +100.0% | 0.01% | – | |
| RELIW | New | RELIANCE GLOBAL GROUP INC*w exp 02/01/202 | $34,000 | – | 30,156 | +100.0% | 0.01% | – |
| Sell | PETVIVO HLDGS INC*w exp 08/13/202 | $34,000 | -32.0% | 60,508 | -7.2% | 0.01% | -25.0% | |
| SYTAW | New | SIYATA MOBILE INC*w exp 09/24/202 | $34,000 | – | 42,426 | +100.0% | 0.01% | – |
| Sell | BLACKSKY TECHNOLOGY INC*w exp 10/30/202 | $35,000 | -82.5% | 63,865 | -49.6% | 0.01% | -81.2% | |
| Buy | GUARDFORCE AI CO LTD*w exp 09/01/202 | $31,000 | +63.2% | 61,500 | +164.5% | 0.01% | +100.0% | |
| New | SURGEPAYS INC*w exp 10/22/202 | $34,000 | – | 60,000 | +100.0% | 0.01% | – | |
| AUVI | New | APPLIED UV INC | $34,000 | – | 12,500 | +100.0% | 0.01% | – |
| TALKW | New | TALKSPACE INC*w exp 06/21/202 | $29,000 | – | 125,002 | +100.0% | 0.01% | – |
| New | BONE BIOLOGICS CORP*w exp 10/13/202 | $27,000 | – | 39,003 | +100.0% | 0.01% | – | |
| New | VICARIOUS SURGICAL INC*w exp 08/05/202 | $26,000 | – | 12,000 | +100.0% | 0.01% | – | |
| APWS | Sell | AMPCO-PITTSBURG CORP*w exp 08/01/202 | $25,000 | -64.8% | 42,401 | -50.0% | 0.01% | -58.3% |
| Sell | DERMATA THERAPEUTICS INC*w exp 08/13/202 | $22,000 | -74.1% | 51,399 | -48.6% | 0.00% | -71.4% | |
| Sell | SEQLL INC*w exp 08/31/202 | $19,000 | -83.2% | 22,795 | -78.7% | 0.00% | -77.8% | |
| New | PLANET LABS PBC*w exp 12/06/202 | $19,000 | – | 10,000 | +100.0% | 0.00% | – | |
| GOVXW | Sell | GEOVAX LABS INC*w exp 09/29/202 | $20,000 | -59.2% | 21,087 | -39.8% | 0.00% | -50.0% |
| New | MOBIQUITY TECHNOLOGIES INC*w exp 12/03/202 | $23,000 | – | 42,501 | +100.0% | 0.00% | – | |
| ADTX | New | ADITXT INC | $21,000 | – | 39,900 | +100.0% | 0.00% | – |
| New | TMC THE METALS COMPANY INCcall | $23,000 | – | 11,100 | +100.0% | 0.00% | – | |
| New | BT BRANDS INC*w exp 11/12/202 | $24,000 | – | 32,737 | +100.0% | 0.00% | – | |
| Sell | WORKSPORT LTD*w exp 06/01/202 | $23,000 | -82.8% | 25,778 | -64.7% | 0.00% | -81.8% | |
| IKT | Sell | INHIBIKASE THERAPEUTICS INC | $18,000 | -63.3% | 12,494 | -51.9% | 0.00% | -62.5% |
| New | HEARTBEAM INC*w exp 10/31/202 | $14,000 | – | 18,638 | +100.0% | 0.00% | – | |
| Sell | EZFILL HOLDINGS INC | $17,000 | -83.3% | 12,001 | -52.0% | 0.00% | -82.4% | |
| DBGIW | Sell | DIGITAL BRANDS GROUP INC*w exp 05/01/202 | $17,000 | -67.3% | 32,503 | -52.1% | 0.00% | -62.5% |
| CRTDW | Buy | CREATD INC*w exp 09/15/202 | $14,000 | +55.6% | 24,545 | +86.9% | 0.00% | +200.0% |
| ZIVOW | Sell | ZIVO BIOSCIENCE INC*w exp 05/14/202 | $18,000 | -55.0% | 19,441 | -51.4% | 0.00% | -50.0% |
| Sell | INSPIRA TECHNOLOGIES OXY BHN*w exp 06/30/202 | $18,000 | -30.8% | 20,001 | -35.7% | 0.00% | -25.0% | |
| ATXI | New | AVENUE THERAPEUTICS INC | $9,000 | – | 10,001 | +100.0% | 0.00% | – |
| Sell | CLARUS THERAPEUTICS HLDNGS I*w exp 08/11/202 | $9,000 | -91.4% | 32,502 | -76.8% | 0.00% | -88.2% | |
| New | LIVEONE INC | $13,000 | – | 10,000 | +100.0% | 0.00% | – | |
| PXS | Sell | PYXIS TANKERS INC | $12,000 | -68.4% | 25,001 | -50.0% | 0.00% | -66.7% |
| CLVRW | Sell | CLEVER LEAVES HOLDINGS INC*w exp 12/18/202 | $9,000 | -95.2% | 18,686 | -88.8% | 0.00% | -93.3% |
| PXSAW | Sell | PYXIS TANKERS INC*w exp 09/15/202 | $12,000 | -52.0% | 81,744 | -16.1% | 0.00% | -50.0% |
| JOB | Sell | GEE GROUP INC | $9,000 | -35.7% | 15,001 | -50.0% | 0.00% | 0.0% |
| Sell | SPIRE GLOBAL INC*w exp 08/16/202 | $13,000 | -83.1% | 29,800 | -34.3% | 0.00% | -83.3% | |
| GROMW | Sell | GROM SOCIAL ENTERPRISES INC*w exp 06/17/202 | $12,000 | -93.5% | 24,022 | -85.1% | 0.00% | -93.3% |
| SBEVWS | Sell | SPLASH BEVERAGE GROUP INC*w exp 99/99/999 | $13,000 | -45.8% | 40,712 | -9.4% | 0.00% | -50.0% |
| GMVDW | Sell | G MED INNOVATIONS HLDGS LTD*w exp 06/30/202 | $4,000 | -60.0% | 12,801 | -50.0% | 0.00% | -50.0% |
| New | SHAPEWAYS HOLDINGS INC*w exp 99/99/999 | $8,000 | – | 14,669 | +100.0% | 0.00% | – | |
| ABEO | New | ABEONA THERAPEUTICS INC | $8,000 | – | 23,200 | +100.0% | 0.00% | – |
| ENTXW | Sell | ENTERA BIO LTD*w exp 07/02/202 | $4,000 | -82.6% | 14,047 | -68.8% | 0.00% | -75.0% |
| LIXTW | Sell | LIXTE BIOTECHNOLOGY HLDGS IN*w exp 01/01/202 | $8,000 | -60.0% | 17,934 | -50.2% | 0.00% | -66.7% |
| IMACW | Sell | IMAC HLDGS INC*w exp 02/12/202 | $6,000 | -78.6% | 24,313 | -63.3% | 0.00% | -80.0% |
| Exit | GLOBAL CONSUMER ACQUISITN CO*w exp 05/21/202 | $0 | – | -10,000 | -100.0% | -0.00% | – | |
| MDGSW | Exit | MEDIGUS LTD*w exp 07/23/202 | $0 | – | -18,450 | -100.0% | -0.00% | – |
| COMSW | Exit | COMSOVEREIGN HLDG CORP*w exp 12/18/202 | $0 | – | -16,660 | -100.0% | -0.00% | – |
| NBSTW | Exit | NEWBURY STREET ACQUISITN COR*w exp 04/30/202 | $0 | – | -10,000 | -100.0% | -0.00% | – |
| SEAC | Exit | SEACHANGE INTL INC | $0 | – | -15,400 | -100.0% | -0.00% | – |
| Exit | LIBERTY MEDIA CORP DELdeb 3.500% 1/1 | $0 | – | -12,968 | -100.0% | -0.00% | – | |
| HYMCL | Exit | HYCROFT MINING HOLDING CORP*w exp 10/06/202 | $0 | – | -51,158 | -100.0% | -0.00% | – |
| MILEW | Exit | METROMILE INC*w exp 02/09/202 | $0 | – | -20,000 | -100.0% | -0.00% | – |
| CTRM | Exit | CASTOR MARITIME INC | $0 | – | -10,000 | -100.0% | -0.00% | – |
| JUPW | Exit | JUPITER WELLNESS INC | $0 | – | -16,000 | -100.0% | -0.00% | – |
| BFIIW | Exit | BURGERFI INTERNATIONAL INC*w exp 12/16/202 | $0 | – | -13,657 | -100.0% | -0.00% | – |
| SLNO | Exit | SOLENO THERAPEUTICS INC | $0 | – | -30,000 | -100.0% | -0.01% | – |
| AGRIW | Exit | AGRIFORCE GROWING SYSTEMS LT*w exp 02/01/202 | $0 | – | -57,461 | -100.0% | -0.01% | – |
| NLSPW | Exit | NLS PHARMACEUTICS LTD*w exp 09/25/202 | $0 | – | -35,480 | -100.0% | -0.01% | – |
| SHIP | Exit | SEANERGY MARITIME HLDGS CORP | $0 | – | -20,000 | -100.0% | -0.01% | – |
| RCAT | Exit | RED CAT HLDGS INC | $0 | – | -10,000 | -100.0% | -0.01% | – |
| VERBW | Exit | VERB TECHNOLOGY CO INC*w exp 03/14/202 | $0 | – | -55,157 | -100.0% | -0.01% | – |
| LEGOW | Exit | LEGATO MERGER CORP*w exp 12/31/202 | $0 | – | -15,000 | -100.0% | -0.01% | – |
| Exit | NUANCE COMMUNICATIONS INCdbcv 1.000%12/1 | $0 | – | -20,000 | -100.0% | -0.01% | – | |
| ALZN | Exit | ALZAMEND NEURO INC | $0 | – | -14,000 | -100.0% | -0.01% | – |
| AUUDW | Exit | AUDDIA INC*w exp 10/17/202 | $0 | – | -69,800 | -100.0% | -0.01% | – |
| HCDIW | Exit | HARBOR CUSTOM DEVELOPMENT IN*w exp 05/09/202 | $0 | – | -96,000 | -100.0% | -0.01% | – |
| JRSH | Exit | JERASH HLDGS US INC | $0 | – | -10,000 | -100.0% | -0.01% | – |
| ALFIW | Exit | ALFI INC*w exp 04/29/202 | $0 | – | -20,017 | -100.0% | -0.01% | – |
| BTRSW | Exit | BTRS HOLDINGS INC*w exp 01/12/202 | $0 | – | -32,400 | -100.0% | -0.01% | – |
| Exit | HUMACYTE INC*w exp 09/21/202 | $0 | – | -35,662 | -100.0% | -0.02% | – | |
| ZNTE | Exit | ZANITE ACQUISITION CORP | $0 | – | -10,600 | -100.0% | -0.02% | – |
| Exit | HHG CAPITAL CORPORATIONunit 02/25/2026 | $0 | – | -10,092 | -100.0% | -0.02% | – | |
| Exit | PARABELLUM ACQUISITION CORPunit 99/99/9999 | $0 | – | -11,000 | -100.0% | -0.02% | – | |
| Exit | GLADSTONE ACQUISITION CORPunit 04/01/2024 | $0 | – | -11,329 | -100.0% | -0.02% | – | |
| SDS | Exit | PROSHARES TRultrashrt s&p500 | $0 | – | -14,000 | -100.0% | -0.02% | – |
| BCTXW | Exit | BRIACELL THERAPEUTICS CORP*w exp 02/24/202 | $0 | – | -27,000 | -100.0% | -0.02% | – |
| PIPP | Exit | PINE IS ACQUISITION CORPcl a | $0 | – | -15,000 | -100.0% | -0.02% | – |
| TWNKW | Exit | HOSTESS BRANDS INC*w exp 11/04/202 | $0 | – | -49,603 | -100.0% | -0.02% | – |
| DMSWS | Exit | DIGITAL MEDIA SOLUTIONS INC*w exp 07/15/202 | $0 | – | -262,122 | -100.0% | -0.03% | – |
| MUDS | Exit | MUDRICK CAPITAL ACQU CORP IIput | $0 | – | -20,000 | -100.0% | -0.03% | – |
| CCAC | Exit | CITIC CAPITAL ACQUISITION CO | $0 | – | -19,900 | -100.0% | -0.03% | – |
| FPAC | Exit | FAR PEAK ACQUISITION CORP | $0 | – | -19,900 | -100.0% | -0.03% | – |
| PCT | Exit | PURECYCLE TECHNOLOGIES INCput | $0 | – | -16,000 | -100.0% | -0.03% | – |
| Exit | TESLA INCnote 2.000% 5/1 | $0 | – | -17,000 | -100.0% | -0.03% | – | |
| ASTRW | Exit | ASTRA SPACE INC*w exp 08/04/202 | $0 | – | -104,873 | -100.0% | -0.04% | – |
| Exit | INSULET CORPnote 0.375% 9/0 | $0 | – | -199,000 | -100.0% | -0.04% | – | |
| PTON | Exit | PELOTON INTERACTIVE INCput | $0 | – | -4,000 | -100.0% | -0.06% | – |
| NKLA | Exit | NIKOLA CORPput | $0 | – | -35,000 | -100.0% | -0.06% | – |
| PAAS | Exit | PAN AMERN SILVER CORPcall | $0 | – | -16,500 | -100.0% | -0.06% | – |
| Exit | DATCHAT INC*w exp 08/13/202 | $0 | – | -45,658 | -100.0% | -0.06% | – | |
| QS | Exit | QUANTUMSCAPE CORPcall | $0 | – | -17,000 | -100.0% | -0.07% | – |
| INSG | Exit | INSEEGO CORPput | $0 | – | -73,200 | -100.0% | -0.08% | – |
| INSG | Exit | INSEEGO CORP | $0 | – | -73,200 | -100.0% | -0.08% | – |
| F | Exit | FORD MTR CO DELcall | $0 | – | -48,000 | -100.0% | -0.11% | – |
| DOCN | Exit | DIGITALOCEAN HLDGS INCput | $0 | – | -10,000 | -100.0% | -0.13% | – |
| Exit | SNAP INCnote 0.750% 8/0 | $0 | – | -326,000 | -100.0% | -0.17% | – | |
| ARKK | Exit | ARK ETF TRput | $0 | – | -10,000 | -100.0% | -0.18% | – |
| Exit | DOCUSIGN INCnote 0.500% 9/1 | $0 | – | -367,000 | -100.0% | -0.21% | – | |
| IEAWW | Exit | INFRA AND ENERGY ALTRNTIVE I*w exp 03/27/202 | $0 | – | -1,278,607 | -100.0% | -0.24% | – |
| NEEPRP | Exit | NEXTERA ENERGY INCunit 99/99/9999 | $0 | – | -30,000 | -100.0% | -0.25% | – |
| WSC | Exit | WILLSCOT MOBIL MINI HLDNG CO | $0 | – | -56,004 | -100.0% | -0.29% | – |
| QQQ | Exit | INVESCO QQQ TRunit ser 1 | $0 | – | -5,000 | -100.0% | -0.29% | – |
| Exit | INSULET CORPnote 1.375%11/1 | $0 | – | -623,000 | -100.0% | -0.31% | – | |
| Exit | KNOWLES CORPnote 3.250%11/0 | $0 | – | -2,010,000 | -100.0% | -0.33% | – | |
| Exit | HUBSPOT INCnote 0.250% 6/0 | $0 | – | -325,000 | -100.0% | -0.38% | – | |
| Exit | MICROCHIP TECHNOLOGY INC.note 2.250% 2/1 | $0 | – | -1,480,000 | -100.0% | -0.55% | – | |
| TLT | Exit | ISHARES TRput | $0 | – | -25,000 | -100.0% | -0.58% | – |
| Exit | WIX COM LTDnote 7/0 | $0 | – | -4,830,000 | -100.0% | -1.16% | – | |
| Exit | SEA LTDnote 1.000%12/0 | $0 | – | -1,175,000 | -100.0% | -1.21% | – | |
| Exit | DEXCOM INCnote 0.750%12/0 | $0 | – | -3,355,000 | -100.0% | -1.81% | – | |
| Exit | REPLIGEN CORPnote 0.375% 7/1 | $0 | – | -5,025,000 | -100.0% | -2.06% | – | |
| Exit | MICROCHIP TECHNOLOGY INC.note 1.625% 2/1 | $0 | – | -5,073,000 | -100.0% | -2.78% | – | |
| Exit | TESLA INCnote 2.375% 3/1 | $0 | – | -2,510,000 | -100.0% | -4.82% | – |
Original filings
The following EDGAR filing(s) were analyzed to create this report:
- View 13F-HR filed 2022-02-14
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.