Warberg Asset Management

Warberg Asset Management as of Dec. 31, 2020

Portfolio Holdings for Warberg Asset Management

Warberg Asset Management holds 147 positions in its portfolio as reported in the December 2020 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Spdr S&p 500 Etf Tr Tr Unit Put Option (SPY) 13.2 $54M 144k 373.88
Tesla Note 2.375% 3/1 (Principal) 9.7 $40M 3.7M 10.68
Hubspot Note 0.250% 6/0 (Principal) 6.4 $26M 6.2M 4.17
Five9 Note 0.125% 5/0 (Principal) 5.3 $22M 5.1M 4.21
Tesla Note 2.000% 5/1 (Principal) 4.3 $18M 1.6M 11.30
Inphi Corp Note 0.750% 9/0 (Principal) 3.5 $14M 5.1M 2.84
Insulet Corp Note 1.375%11/1 (Principal) 3.1 $13M 4.7M 2.74
Teradyne Note 1.250%12/1 (Principal) 3.1 $13M 3.4M 3.79
Sea Note 1.000%12/0 (Principal) 2.9 $12M 3.0M 3.97
Microchip Technology Note 1.625% 2/1 (Principal) 2.9 $12M 5.6M 2.11
Nice Sys Note 1.250% 1/1 (Principal) 2.9 $12M 3.5M 3.39
Tesla Motors Call Option (TSLA) 2.6 $11M 15k 705.60
Square Note 0.500% 5/1 (Principal) 2.5 $10M 3.6M 2.81
Mercadolibre Note 2.000% 8/1 (Principal) 1.9 $7.6M 2.0M 3.80
Hannon Armstrong Sust Infr C Note 4.125% 9/0 (Principal) 1.8 $7.5M 3.2M 2.34
Coupa Software Note 0.125% 6/1 (Principal) 1.8 $7.5M 3.4M 2.17
Zillow Group Note 0.750% 9/0 (Principal) 1.8 $7.5M 2.5M 2.99
Wayfair Note 1.125%11/0 (Principal) 1.8 $7.2M 3.6M 2.01
RH Note 6/1 (Principal) 1.7 $6.9M 2.9M 2.35
Carnival Corp Unit 99/99/9999 (CCL) 1.6 $6.4M 295k 21.66
Dexcom Note 0.750%12/0 (Principal) 1.4 $5.7M 2.5M 2.28
J2 Global Note 3.250% 6/1 (Principal) 1.4 $5.6M 3.8M 1.46
Invesco Qqq Tr Unit Ser 1 Call Option (QQQ) 1.3 $5.3M 17k 313.70
Chegg Note 0.250% 5/1 (Principal) 1.2 $5.1M 1.5M 3.34
JPMorgan Chase & Co. Call Option (JPM) 1.1 $4.4M 35k 127.06
Gsv Cap Corp Note 4.750% 3/2 (Principal) 0.8 $3.4M 2.4M 1.41
Wix Note 7/0 (Principal) 0.8 $3.3M 1.8M 1.85
Ishares Tr 20 Yr Tr Bd Etf Put Option (TLT) 0.8 $3.2M 20k 157.75
Chegg Note 0.125% 3/1 (Principal) 0.8 $3.1M 1.7M 1.82
Innovative Industria A Put Option (IIPR) 0.7 $2.9M 16k 183.11
Select Sector Spdr Tr Sbi Int-finl Put Option (XLF) 0.7 $2.9M 100k 29.48
Ishares Tr Russell 2000 Etf Put Option (IWM) 0.7 $2.9M 15k 196.07
Vaneck Vectors Etf Tr Gold Miners Etf Call Option (GDX) 0.7 $2.9M 80k 36.02
Norwegian Cruise Line Hldg L SHS (NCLH) 0.7 $2.9M 113k 25.43
Blink Charging Put Option (BLNK) 0.7 $2.8M 65k 42.75
Nextera Energy Unit 09/01/2022s 0.7 $2.7M 45k 59.05
Apple Call Option (AAPL) 0.7 $2.7M 20k 132.70
Mongodb Note 0.750% 6/1 (Principal) 0.6 $2.5M 468k 5.26
Growgeneration Corp (GRWG) 0.6 $2.4M 60k 40.20
Nabors Industries SHS Call Option (NBR) 0.6 $2.3M 40k 58.23
Inseego 0.5 $2.2M 140k 15.48
Pershing Square Tontine Hldg Com Cl A 0.5 $2.1M 77k 27.72
Facebook Cl A Put Option (META) 0.5 $1.9M 7.0k 273.14
Ishares Silver Tr Ishares Call Option (SLV) 0.4 $1.8M 71k 24.57
Barclays Bank Ipth Sr B S&p 0.4 $1.5M 90k 16.80
Suro Capital Corp Com New Put Option (SSSS) 0.3 $1.3M 96k 13.09
Rapid7 Note 1.250% 8/0 (Principal) 0.3 $1.1M 505k 2.18
Nuance Communications Debt 1.500%11/0 (Principal) 0.2 $986k 2.8M 0.35
National Health Invs Note 3.250% 4/0 (Principal) 0.2 $939k 880k 1.07
Direxion Shs Etf Tr 20yr Tres Bear Call Option (TMV) 0.2 $810k 15k 54.00
Infra And Energy Altrntive I *w Exp 05/20/202 0.2 $804k 679k 1.18
Velodyne Lidar 0.2 $782k 34k 22.82
Etsy Note 3/0 (Principal) 0.2 $744k 1.7M 0.45
Arbor Realty Trust Note 5.250% 7/0 (Principal) 0.2 $639k 1.0M 0.64
Nio Spon Ads Put Option (NIO) 0.2 $634k 13k 48.77
Illumina Note 0.500% 6/1 (Principal) 0.2 $625k 427k 1.46
Ark Etf Tr Innovation Etf Put Option (ARKK) 0.2 $622k 5.0k 124.40
Hostess Brands *w Exp 11/04/202 0.1 $610k 1.1M 0.56
Palo Alto Networks Note 0.750% 7/0 (Principal) 0.1 $605k 428k 1.41
Spirit Airlines Call Option (SAVE) 0.1 $587k 24k 24.46
Nikola Corp Put Option (NKLA) 0.1 $549k 36k 15.25
Workday Note 0.250%10/0 (Principal) 0.1 $544k 325k 1.67
Gfl Environmental Unit 99/99/9999t 0.1 $536k 7.6k 70.18
Pan American Silver Corp Can Call Option (PAAS) 0.1 $518k 15k 34.53
Utz Brands Com Cl A Put Option (UTZ) 0.1 $419k 19k 22.05
Sailpoint Technologies Hldgs Note 0.125% 9/1 (Principal) 0.1 $389k 200k 1.95
Alta Equipment Group *w Exp 02/14/202 0.1 $356k 320k 1.11
Gsx Techedu Sponsored Ads Put Option (GOTU) 0.1 $310k 6.0k 51.67
Tanger Factory Outlet Centers Call Option (SKT) 0.1 $289k 29k 9.97
Ringcentral Note 3/1 (Principal) 0.1 $260k 56k 4.64
Intl Gnrl Insurance Hldngs L *w Exp 03/17/202 0.1 $249k 631k 0.39
Becton, Dickinson and (BDX) 0.1 $245k 979.00 250.26
Property Solutions Acquisiti 0.1 $241k 24k 10.01
Newhold Investment Corp Com Cl A 0.1 $239k 24k 10.00
Willscot Mobil Mini Hldng Com Cl A Put Option (WSC) 0.1 $232k 10k 23.20
New England Rlty Assoc Ltd P Depositry Rcpt (NEN) 0.1 $230k 4.6k 50.15
Viking Therapeutics *w Exp 04/13/202 0.1 $219k 164k 1.34
Seabridge Gold Call Option (SA) 0.1 $211k 10k 21.10
Pinduoduo Note 10/0 (Principal) 0.1 $208k 50k 4.16
Tattooed Chef Com Cl A Put Option (TTCFQ) 0.1 $206k 9.0k 22.89
Vistas Media Acquisition Com Cl A 0.0 $202k 20k 10.10
Malacca Straits Acquisition Com Cl A 0.0 $192k 19k 9.90
Ford Motor Company Call Option (F) 0.0 $176k 20k 8.80
Riot Blockchain Put Option (RIOT) 0.0 $170k 10k 17.00
Fisker Cl A Com Stk Call Option (FSRN) 0.0 $161k 11k 14.64
Chardan Healthcr Acqstn 2 0.0 $159k 16k 10.21
Novagold Res Com New Call Option (NG) 0.0 $152k 16k 9.68
Tattooed Chef *w Exp 10/15/202 0.0 $151k 40k 3.76
Inseego Corp Note 3.250% 5/0 (Principal) 0.0 $149k 110k 1.35
Fisker *w Exp 12/01/202 0.0 $148k 116k 1.28
Vpc Impact Acquisition Hldng Shs Cl A 0.0 $145k 14k 10.07
Delwinds Ins Acquisition Cor Unit 99/99/9999 0.0 $144k 14k 10.29
Industrial Tech Acqu Com Cl A 0.0 $142k 14k 10.14
Montes Archimedes Acquisitio Com Cl A 0.0 $141k 14k 10.14
Alpha Healthcare Acquistn Cl A 0.0 $132k 13k 10.15
Ig Acquisition Corp Com Cl A 0.0 $130k 13k 10.16
Spartacus Acquisition Corp Cl A 0.0 $127k 13k 10.08
Atlantic Ave Acquisition Cor Com Cl A 0.0 $124k 12k 10.04
Optimumbank Holdings (OPHC) 0.0 $122k 36k 3.37
Aequi Acquisition Corp Unit 11/30/2027 0.0 $119k 12k 10.10
New Frontier Health Corp *w Exp 11/30/202 0.0 $118k 54k 2.17
Ptk Acquisition Corp 0.0 $112k 11k 10.18
Co Diagnostics Put Option (CODX) 0.0 $112k 12k 9.33
Lionheart Acquisition Corp I Com Cl A 0.0 $107k 11k 10.08
Mcewen Mining 0.0 $107k 109k 0.98
Landcadia Holdings Iii Com Cl A 0.0 $106k 10k 10.45
Tailwind Acquisition Corp Com Cl A 0.0 $106k 10k 10.43
Zanite Acquisition Corp Unit 10/08/2025 0.0 $105k 10k 10.50
Hycroft Mining Holding Corp Com Cl A 0.0 $104k 13k 7.83
Oncternal Therapeutics Call Option 0.0 $103k 21k 4.90
Digital Media Solutions *w Exp 07/15/202 (DMSIW) 0.0 $98k 127k 0.77
Electrameccanica Vehs Corp *w Exp 08/03/202 0.0 $69k 18k 3.79
Hc2 Holdings Call Option 0.0 $65k 20k 3.25
Baudax Bio Call Option 0.0 $64k 63k 1.02
Gcm Grosvenor *w Exp 11/17/202 (GCMGW) 0.0 $60k 190k 0.32
Sierra Metals (SMTSF) 0.0 $60k 18k 3.33
Cbdmd 0.0 $59k 20k 2.95
Histogen 0.0 $56k 74k 0.76
Docusign Note 0.500% 9/1 (Principal) 0.0 $50k 16k 3.12
Fat Brands *w Exp 06/30/202 (FATBW) 0.0 $48k 18k 2.68
Verifyme *w Exp 06/22/202 (VRMEW) 0.0 $41k 40k 1.02
Ampco-pittsburg Corp *w Exp 08/01/202 (AP.WS) 0.0 $40k 93k 0.43
Ammo (POWW) 0.0 $33k 10k 3.30
Benitec Biopharma 0.0 $30k 10k 3.00
Biohitech Global (RENO) 0.0 $27k 24k 1.12
9 Meters Biopharma 0.0 $27k 32k 0.85
Entera Bio *w Exp 07/02/202 0.0 $25k 289k 0.09
Medigus Sponsored Ads 0.0 $25k 13k 1.92
Cns Pharmaceuticals 0.0 $25k 14k 1.79
Imac Hldgs *w Exp 02/12/202 0.0 $24k 105k 0.23
Property Solutions Acquisiti *w Exp 03/20/202 0.0 $23k 22k 1.06
Glry Str Nw Mdia Grup Hldg L *w Exp 02/13/202 (GSMGW) 0.0 $23k 280k 0.08
Citius Pharmaceuticals Com New (CTXR) 0.0 $20k 20k 1.00
Daseke *w Exp 02/27/202 0.0 $17k 915k 0.02
Endra Life Sciences 0.0 $15k 20k 0.74
Vistas Media Acquisition *w Exp 08/01/202 0.0 $15k 18k 0.85
Geovax Labs *w Exp 09/29/202 (GOVXW) 0.0 $14k 27k 0.52
Creatd *w Exp 09/15/202 (CRTDW) 0.0 $12k 13k 0.95
Lixte Biotechnology Hldgs In *w Exp 01/01/202 (LIXTW) 0.0 $12k 13k 0.92
Liberty Media Corp Del Deb 3.500% 1/1 (Principal) 0.0 $11k 12k 0.92
Medigus *w Exp 07/23/202 0.0 $10k 54k 0.19
Clene *w Exp 11/07/202 (CLNNW) 0.0 $7.0k 14k 0.50
Hycroft Mining Holding Corp *w Exp 02/12/202 (HYMCW) 0.0 $4.0k 73k 0.05
Artelo Biosciences *w Exp 06/25/202 (ARTLW) 0.0 $4.0k 16k 0.24
Global Blue Group Holding *w Exp 08/28/202 (GB.WS) 0.0 $4.0k 16k 0.26
Pyxis Tankers *w Exp 09/15/202 (PXSAW) 0.0 $3.0k 22k 0.14
Broadmark Rlty Cap *w Exp 11/15/202 0.0 $1.0k 10k 0.10