$507 Million is the total value of Warberg Asset Management LLC's 249 reported holdings in Q1 2023. The portfolio turnover from Q4 2022 to Q1 2023 was 118.6% .
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| Buy | ON SEMICONDUCTOR CORPnote 1.625%10/1 | $51,804,415 | +61.4% | 13,070,000 | +22.6% | 10.21% | +103.1% | |
| Buy | DICKS SPORTING GOODS INCnote 3.250% 4/1 | $35,972,192 | +105.5% | 8,062,000 | +72.9% | 7.09% | +158.5% | |
| Buy | TERADYNE INCnote 1.250%12/1 | $25,293,492 | +27.3% | 7,423,000 | +3.4% | 4.98% | +60.2% | |
| Buy | INVESCO QQQ TRput | $21,502,310 | +438.3% | 67,000 | +346.7% | 4.24% | +576.8% | |
| Buy | PALO ALTO NETWORKS INCnote 0.750% 7/0 | $14,216,127 | +48.5% | 6,339,000 | +4.7% | 2.80% | +86.7% | |
| New | CHART INDS INCnote 1.000%11/1 | $10,896,752 | – | 5,000,000 | +100.0% | 2.15% | – | |
| Buy | FTI CONSULTING INCnote 2.000% 8/1 | $9,865,604 | +24.2% | 5,056,000 | +0.6% | 1.94% | +56.3% | |
| New | SEA LTDnote 1.000%12/0 | $8,781,250 | – | 5,000,000 | +100.0% | 1.73% | – | |
| Buy | ETSY INCnote 0.125%10/0 | $7,812,848 | +71.8% | 5,450,000 | +85.4% | 1.54% | +116.3% | |
| Buy | ENVISTA HOLDINGS CORPORATIONnote 2.375% 6/0 | $6,427,045 | +18.9% | 3,209,000 | +0.1% | 1.27% | +49.5% | |
| Buy | ALLSCRIPTS HEALTHCARE SOLUTInote 0.875% 1/0 | $6,216,430 | -13.1% | 5,500,000 | +9.8% | 1.22% | +9.3% | |
| New | ISHARES TRput | $4,638,400 | – | 26,000 | +100.0% | 0.91% | – | |
| Buy | SILICON LABORATORIES INCnote 0.625% 6/1 | $4,127,809 | +112.8% | 2,749,000 | +77.9% | 0.81% | +167.4% | |
| New | BOX INCnote 1/1 | $4,099,025 | – | 3,500,000 | +100.0% | 0.81% | – | |
| New | INVESCO QQQ TRcall | $3,851,160 | – | 12,000 | +100.0% | 0.76% | – | |
| Buy | PARSONS CORP DELnote 0.250% 8/1 | $3,846,018 | +7.9% | 3,473,000 | +11.1% | 0.76% | +35.6% | |
| New | PEABODY ENGR CORPnote 3.250% 3/0 | $3,807,828 | – | 2,500,000 | +100.0% | 0.75% | – | |
| Buy | RHnote 9/1 | $3,754,754 | +982.8% | 2,907,000 | +1062.8% | 0.74% | +1270.4% | |
| New | SPDR GOLD TRput | $3,664,400 | – | 20,000 | +100.0% | 0.72% | – | |
| Buy | MICROCHIP TECHNOLOGY INC.note 1.625% 2/1 | $3,444,191 | +262.4% | 1,446,000 | +203.8% | 0.68% | +355.7% | |
| New | CLOROX CO DELput | $3,164,800 | – | 20,000 | +100.0% | 0.62% | – | |
| Buy | NICE SYS INCnote 1.250% 1/1 | $2,892,165 | +56.0% | 1,054,000 | +31.1% | 0.57% | +96.6% | |
| Buy | AKAMAI TECHNOLOGIES INCnote 0.125% 5/0 | $2,408,809 | -1.7% | 2,390,000 | +3.0% | 0.48% | +23.7% | |
| New | BARCLAYS BANK PLCcall | $2,380,230 | – | 53,000 | +100.0% | 0.47% | – | |
| Buy | VANECK ETF TRUSTcall | $2,102,750 | +19.3% | 65,000 | +5.7% | 0.41% | +50.0% | |
| New | TESLA INCput | $2,074,600 | – | 10,000 | +100.0% | 0.41% | – | |
| Buy | RHnote 6/1 | $1,972,990 | +5858.2% | 1,575,000 | +6462.5% | 0.39% | +7680.0% | |
| New | REPLIGEN CORPnote 0.375% 7/1 | $1,560,826 | – | 1,015,000 | +100.0% | 0.31% | – | |
| ICSH | New | ISHARES TRblackrock ultra | $1,544,886 | – | 30,744 | +100.0% | 0.30% | – |
| Buy | INSIGHT ENTERPRISES INCnote 0.750% 2/1 | $1,523,747 | +49.2% | 727,000 | +7.1% | 0.30% | +87.5% | |
| Buy | TESLA INCnote 2.000% 5/1 | $1,443,938 | +74.5% | 144,000 | +3.6% | 0.28% | +119.2% | |
| Buy | SURGEPAYS INC*w exp 10/22/202 | $1,432,631 | -46.9% | 1,211,492 | +5.6% | 0.28% | -33.2% | |
| New | CONMED CORPnote 2.625% 2/0 | $1,313,440 | – | 1,066,000 | +100.0% | 0.26% | – | |
| APTVPRA | New | APTIV PLC5.5% cnv pfd a | $1,107,927 | – | 9,127 | +100.0% | 0.22% | – |
| Buy | KBR INCnote 2.500%11/0 | $1,010,505 | +79.8% | 464,000 | +74.4% | 0.20% | +126.1% | |
| New | FIRST REP BK SAN FRANCISCO Cput | $919,143 | – | 65,700 | +100.0% | 0.18% | – | |
| New | MICROSOFT CORPcall | $864,900 | – | 3,000 | +100.0% | 0.17% | – | |
| New | OAK WOODS ACQUISITION CORPunit 03/23/2028 | $663,000 | – | 65,000 | +100.0% | 0.13% | – | |
| New | SELECT SECTOR SPDR TRput | $643,000 | – | 20,000 | +100.0% | 0.13% | – | |
| Buy | GOLDENSTONE ACQUISITION LTD | $623,496 | +119.3% | 60,096 | +116.0% | 0.12% | +173.3% | |
| CHKEL | Buy | CHESAPEAKE ENERGY CORP*w exp 02/09/202 | $607,962 | +81.6% | 10,512 | +142.9% | 0.12% | +130.8% |
| MAQC | New | MAQUIA CAPITAL ACQUISITION C | $600,170 | – | 56,407 | +100.0% | 0.12% | – |
| CHKEW | Buy | CHESAPEAKE ENERGY CORP*w exp 02/09/202 | $588,108 | +190.8% | 9,152 | +281.0% | 0.12% | +262.5% |
| Buy | OXBRIDGE ACQUISITION CORP | $589,066 | +181.8% | 55,002 | +175.0% | 0.12% | +251.5% | |
| Buy | ACRI CAPITAL ACQUISITION COR | $577,500 | +27.8% | 55,000 | +24.4% | 0.11% | +60.6% | |
| Buy | DEXCOM INCnote 0.750%12/0 | $548,923 | +82.6% | 194,000 | +78.0% | 0.11% | +129.8% | |
| Buy | HNR ACQUISITION CORP | $533,505 | +30.4% | 51,102 | +27.7% | 0.10% | +64.1% | |
| FLOT | New | ISHARES TRfltg rate nt etf | $533,388 | – | 10,581 | +100.0% | 0.10% | – |
| New | MONTEREY BIO ACQUISITION COR | $533,117 | – | 49,894 | +100.0% | 0.10% | – | |
| New | AMC ENTMT HLDGS INCput | $518,034 | – | 103,400 | +100.0% | 0.10% | – | |
| Buy | UNITED STS NAT GAS FD LPcall | $506,620 | +19.8% | 73,000 | +143.3% | 0.10% | +51.5% | |
| Buy | MONTEREY CAP ACQUISITION COR | $507,254 | +41.8% | 49,440 | +38.3% | 0.10% | +78.6% | |
| Buy | INTEGRATED RAIL AND RES ACQ | $467,164 | +255.7% | 44,323 | +245.1% | 0.09% | +338.1% | |
| GSY | New | INVESCO ACTIVELY MANAGED ETFultra shrt dur | $454,485 | – | 9,163 | +100.0% | 0.09% | – |
| Buy | GLOBAL BLOCKCHAIN ACQUI CORP | $439,984 | +9.0% | 42,800 | +7.0% | 0.09% | +38.1% | |
| New | BANK HAWAII CORPput | $380,184 | – | 7,300 | +100.0% | 0.08% | – | |
| Buy | EF HUTTON ACQUISITION CORP I | $353,391 | +165.1% | 34,410 | +158.7% | 0.07% | +233.3% | |
| Buy | CASSAVA SCIENCES INCput | $337,680 | -4.7% | 14,000 | +16.7% | 0.07% | +19.6% | |
| New | FINANCIAL STRATEGIES ACQUISI | $305,660 | – | 29,000 | +100.0% | 0.06% | – | |
| New | COMPOSECURE INC*w exp 12/27/202 | $294,882 | – | 249,900 | +100.0% | 0.06% | – | |
| Buy | BEYOND MEAT INCput | $292,140 | +39.6% | 18,000 | +5.9% | 0.06% | +75.8% | |
| New | BLOCKCHAIN MOON ACQUISITN CO | $290,217 | – | 27,379 | +100.0% | 0.06% | – | |
| Buy | AMPRIUS TECHNOLOGIES INCw exp 09/14/202 | $272,108 | +189.9% | 544,216 | +70.6% | 0.05% | +260.0% | |
| Buy | FEUTUNE LIGHT ACQUISITION CO | $269,878 | +6.6% | 25,900 | +4.0% | 0.05% | +32.5% | |
| New | SCHWAB CHARLES CORPcall | $261,900 | – | 5,000 | +100.0% | 0.05% | – | |
| New | ENPHASE ENERGY INCnote 0.250% 3/0 | $265,673 | – | 100,000 | +100.0% | 0.05% | – | |
| New | PONO CAP THREE INCunit 01/11/2028 | $259,578 | – | 25,300 | +100.0% | 0.05% | – | |
| XLF | New | SELECT SECTOR SPDR TRfinancial | $257,120 | – | 8,000 | +100.0% | 0.05% | – |
| PGRW | Buy | PROGRESS ACQUISITION CORP | $248,664 | +44.7% | 23,570 | +38.9% | 0.05% | +81.5% |
| Buy | SPREE ACQUISITION CORP 1 LTD | $244,807 | +34.7% | 23,494 | +32.6% | 0.05% | +71.4% | |
| New | HCM ACQUISITION CO | $230,450 | – | 22,000 | +100.0% | 0.04% | – | |
| Buy | FG MERGER CORP | $230,897 | +2.4% | 22,159 | +0.4% | 0.04% | +28.6% | |
| Buy | JAWS HURRICANE ACQUISITN COR | $201,580 | +82.5% | 19,821 | +79.0% | 0.04% | +135.3% | |
| Buy | NEUROCRINE BIOSCIENCES INCnote 2.250% 5/1 | $197,972 | +205.1% | 147,000 | +258.5% | 0.04% | +290.0% | |
| Buy | FINTECH ECOSYSTEM DEVE | $193,947 | +13.9% | 18,401 | +10.8% | 0.04% | +40.7% | |
| New | NORDSTROM INCcall | $162,700 | – | 10,000 | +100.0% | 0.03% | – | |
| New | PLUTONIAN ACQUISITION CORP | $162,029 | – | 15,800 | +100.0% | 0.03% | – | |
| New | PALO ALTO NETWORKS INCnote 0.375% 6/0 | $159,497 | – | 79,000 | +100.0% | 0.03% | – | |
| New | FIRST REP BK SAN FRANCISCO Ccall | $139,900 | – | 10,000 | +100.0% | 0.03% | – | |
| New | SURGEPAYS INCput | $136,496 | – | 30,400 | +100.0% | 0.03% | – | |
| New | AVALON ACQUISITION INC | $134,211 | – | 12,874 | +100.0% | 0.03% | – | |
| New | PROOF ACQUISITION CORP I | $131,588 | – | 12,671 | +100.0% | 0.03% | – | |
| New | ATLANTIC COASTAL AQSTN CORP | $120,989 | – | 11,656 | +100.0% | 0.02% | – | |
| New | AIB ACQUISITION CORPORATIONclass a ord | $118,823 | – | 11,295 | +100.0% | 0.02% | – | |
| New | BROAD CAPITAL ACQUISITION CO | $109,162 | – | 10,308 | +100.0% | 0.02% | – | |
| New | ISRAEL ACQUISITIONS CORPclass a ord | $110,996 | – | 10,850 | +100.0% | 0.02% | – | |
| New | BEAMR IMAGING LTD | $106,889 | – | 53,713 | +100.0% | 0.02% | – | |
| New | PHP VENTURES ACQUISITION COR | $106,386 | – | 10,027 | +100.0% | 0.02% | – | |
| KVSA | New | KHOSLA VENTURES ACQUISITIONcl a | $101,400 | – | 10,000 | +100.0% | 0.02% | – |
| Buy | PETVIVO HLDGS INC*w exp 08/13/202 | $103,283 | +70.1% | 258,208 | +16.3% | 0.02% | +100.0% | |
| Buy | DIRECT DIGITAL HOLDINGS INC*w exp 02/15/202 | $100,037 | +104.8% | 133,382 | +113.0% | 0.02% | +150.0% | |
| New | TIVIC HEALTH SYSTEMS INC | $81,568 | – | 541,618 | +100.0% | 0.02% | – | |
| New | BULLFROG AI HLDGS INCw exp 01/18/202 | $72,598 | – | 128,193 | +100.0% | 0.01% | – | |
| Buy | KWESST MICRO SYSTEMS INCw exp 12/09/202 | $65,851 | +14.3% | 137,190 | +114.4% | 0.01% | +44.4% | |
| Buy | SAVERONE 2014 LTDw exp 05/04/202 | $65,275 | +236.3% | 199,497 | +2.6% | 0.01% | +333.3% | |
| ZIVOW | Buy | ZIVO BIOSCIENCE INC*w exp 05/14/202 | $65,346 | +59.0% | 112,163 | +29.7% | 0.01% | +116.7% |
| New | RENEW ENERGY GLOBAL PLC*w exp 08/21/202 | $59,826 | – | 69,614 | +100.0% | 0.01% | – | |
| Buy | TWIN VEE POWERCATS CO | $60,681 | +60.2% | 35,800 | +72.9% | 0.01% | +100.0% | |
| BOIL | New | PROSHARES TR IIultra bloomberg | $48,735 | – | 13,500 | +100.0% | 0.01% | – |
| New | SURGEPAYS INCcall | $44,900 | – | 10,000 | +100.0% | 0.01% | – | |
| TDWWSA | New | TIDEWATER INC NEW*w exp 07/31/202 | $44,891 | – | 37,100 | +100.0% | 0.01% | – |
| THWWW | New | TARGET HOSPITALITY CORP*w exp 03/15/202 | $39,442 | – | 10,325 | +100.0% | 0.01% | – |
| Buy | ONFOLIO HOLDINGS INCw exp 01/02/202 | $42,127 | -37.8% | 299,946 | +6.3% | 0.01% | -27.3% | |
| Buy | MARIS TECH LTD*w exp 02/04/202 | $29,192 | +30.8% | 224,553 | +0.6% | 0.01% | +100.0% | |
| New | APOLLOMICS INCw exp 04/01/202 | $30,310 | – | 281,850 | +100.0% | 0.01% | – | |
| New | LUCY SCIENTIFIC DISCOVERY IN | $30,030 | – | 27,300 | +100.0% | 0.01% | – | |
| Buy | SEASTAR MEDICAL HOLDING CORPw exp 10/28/202 | $30,981 | -2.0% | 366,011 | +4.2% | 0.01% | +20.0% | |
| Buy | SHARPS TECHNOLOGY INCw exp 04/13/202 | $19,734 | +290.5% | 151,799 | +290.8% | 0.00% | +300.0% | |
| Buy | BT BRANDS INC*w exp 11/12/202 | $22,584 | +101.3% | 132,808 | +77.6% | 0.00% | +100.0% | |
| New | BIGBEAR AI HLDGS INC*w exp 12/08/202 | $17,936 | – | 67,000 | +100.0% | 0.00% | – | |
| LABP | New | LANDOS BIOPHARMA INC | $21,904 | – | 73,504 | +100.0% | 0.00% | – |
| New | SILVERGATE CAP CORPput | $18,630 | – | 11,500 | +100.0% | 0.00% | – | |
| Buy | STRAN & COMPANY INC*w exp 11/01/202 | $18,506 | -4.9% | 181,724 | +7.9% | 0.00% | +33.3% | |
| Buy | CEA INDUSTRIES INC*w exp 02/11/202 | $21,254 | -10.6% | 268,016 | +1.5% | 0.00% | 0.0% | |
| New | G MED INNOVATIONS HLDGS LTD | $22,750 | – | 25,000 | +100.0% | 0.00% | – | |
| New | ICZOOM GROUP INC. | $19,030 | – | 11,000 | +100.0% | 0.00% | – | |
| New | SIENTRA INC | $15,400 | – | 10,000 | +100.0% | 0.00% | – | |
| New | SEMANTIX INCw exp 08/03/202 | $12,882 | – | 95,600 | +100.0% | 0.00% | – | |
| Buy | PAGAYA TECHNOLOGIES LTDw exp 09/01/202 | $10,507 | -10.9% | 128,138 | +3.1% | 0.00% | 0.0% | |
| New | T2 BIOSYSTEMS INC | $11,939 | – | 25,955 | +100.0% | 0.00% | – | |
| New | HUB CYBER SECURITY LTDw exp 02/27/202 | $12,500 | – | 100,000 | +100.0% | 0.00% | – | |
| New | PANBELA THERAPEUTICS INC | $8,800 | – | 20,000 | +100.0% | 0.00% | – | |
| New | SEQLL INC*w exp 08/31/202 | $2,811 | – | 56,000 | +100.0% | 0.00% | – | |
| RNAZ | New | TRANSCODE THERAPEUTICS INC | $6,770 | – | 20,000 | +100.0% | 0.00% | – |
| Buy | BIOAFFINITY TECHNOLOGIES INCw exp 09/07/202 | $7,388 | -9.4% | 24,626 | +26.8% | 0.00% | 0.0% | |
| LIXTW | New | LIXTE BIOTECHNOLOGY HLDGS IN*w exp 01/01/202 | $4,579 | – | 53,181 | +100.0% | 0.00% | – |
| Buy | FINANCIAL STRATEGIES ACQUISI*w exp 03/31/202 | $3,255 | +171.2% | 93,000 | +16.2% | 0.00% | – | |
| SYTA | New | SIYATA MOBILE INC | $6,831 | – | 44,825 | +100.0% | 0.00% | – |
| New | SMX SEC MATTERS PLCw exp 03/07/202 | $1,085 | – | 21,700 | +100.0% | 0.00% | – |
Original filings
The following EDGAR filing(s) were analyzed to create this report:
- View 13F-HR filed 2023-05-15
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.