Warberg Asset Management

Warberg Asset Management as of March 31, 2021

Portfolio Holdings for Warberg Asset Management

Warberg Asset Management holds 147 positions in its portfolio as reported in the March 2021 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Spdr S&p 500 Etf Tr Tr Unit Call Option (SPY) 21.1 $63M 160k 396.40
Insulet Corp Note 1.375%11/1 (Principal) 4.4 $13M 4.7M 2.80
J2 Global Note 3.250% 6/1 (Principal) 3.5 $10M 5.9M 1.77
RH Note 6/1 (Principal) 3.4 $10M 3.4M 3.08
Wix Note 7/0 (Principal) 3.4 $10M 5.0M 2.01
Wayfair Note 1.125%11/0 (Principal) 3.2 $9.8M 3.6M 2.74
Hannon Armstrong Sust Infr C Note 4.125% 9/0 (Principal) 2.8 $8.5M 4.1M 2.06
Micron Technology Note 3.125% 5/0 (Principal) 2.5 $7.4M 840k 8.81
Square Note 0.500% 5/1 (Principal) 2.5 $7.4M 2.5M 2.92
Zillow Group Note 0.750% 9/0 (Principal) 2.4 $7.3M 2.5M 2.98
Illumina Note 0.500% 6/1 (Principal) 2.2 $6.7M 4.4M 1.51
Carnival Corp Unit 99/99/9999 (CCL) 2.1 $6.4M 240k 26.54
Dexcom Note 0.750%12/0 (Principal) 2.1 $6.4M 2.9M 2.21
Coupa Software Note 0.125% 6/1 (Principal) 1.8 $5.5M 3.2M 1.70
Mercadolibre Note 2.000% 8/1 (Principal) 1.7 $5.2M 1.6M 3.35
Etsy Note 0.125%10/0 (Principal) 1.6 $4.8M 2.0M 2.37
Palo Alto Networks Note 0.750% 7/0 (Principal) 1.5 $4.5M 3.4M 1.32
Amicus Therapeutics Note 3.000%12/1 (Principal) 1.5 $4.5M 2.8M 1.61
Bandwidth Note 0.250% 3/0 (Principal) 1.5 $4.4M 2.9M 1.53
Penn Natl Gaming Note 2.750% 5/1 (Principal) 1.4 $4.4M 965k 4.52
RH Note 9/1 (Principal) 1.4 $4.2M 1.5M 2.83
Microchip Technology Note 2.250% 2/1 (Principal) 1.4 $4.2M 1.8M 2.30
Ishares Tr 20 Yr Tr Bd Etf (TLT) 1.4 $4.2M 31k 135.40
Infra And Energy Altrntive I *w Exp 03/27/202 1.2 $3.7M 1.1M 3.39
Southwest Airls Note 1.250% 5/0 (Principal) 1.1 $3.4M 2.0M 1.72
Nuance Communications Note 1.250% 4/0 (Principal) 1.1 $3.3M 1.5M 2.28
Q2 HLDGS Note 0.750% 2/1 (Principal) 1.1 $3.3M 1.8M 1.79
Willscot Mobil Mini Hldng Com Cl A Put Option (WSC) 1.0 $3.1M 113k 27.75
Tesla Motors Put Option (TSLA) 1.0 $3.0M 4.5k 668.00
Chegg Note 0.125% 3/1 (Principal) 1.0 $3.0M 1.7M 1.74
Nuance Communications Debt 1.500%11/0 (Principal) 1.0 $2.9M 1.4M 2.12
Innovative Industria A Put Option (IIPR) 1.0 $2.9M 16k 180.19
Hostess Brands *w Exp 11/04/202 0.8 $2.5M 1.7M 1.45
Knowles Corp Note 3.250%11/0 (Principal) 0.8 $2.4M 2.0M 1.20
Select Sector Spdr Tr Sbi Int-finl Put Option (XLF) 0.8 $2.4M 70k 34.06
Nextera Energy Unit 09/01/2022s 0.8 $2.3M 40k 57.57
Suro Capital Corp Com New (SSSS) 0.8 $2.3M 170k 13.54
Exxon Mobil Corporation Call Option (XOM) 0.7 $2.2M 40k 55.83
Nuance Communications DBCV 1.000%12/1 (Principal) 0.7 $2.0M 1.1M 1.85
Mongodb Note 0.750% 6/1 (Principal) 0.6 $1.9M 478k 3.91
Blackline Note 0.125% 8/0 (Principal) 0.6 $1.9M 1.2M 1.59
Zynga Note 0.250% 6/0 (Principal) 0.6 $1.8M 1.3M 1.37
Facebook Cl A Put Option (META) 0.6 $1.8M 6.0k 294.50
KBR Note 2.500%11/0 (Principal) 0.6 $1.7M 1.1M 1.58
Hci Group Note 4.250% 3/0 (Principal) 0.5 $1.5M 1.2M 1.31
Gcm Grosvenor *w Exp 11/17/202 (GCMGW) 0.5 $1.5M 1.3M 1.19
Inseego 0.4 $1.4M 135k 10.00
Arbor Realty Trust Note 5.250% 7/0 (Principal) 0.4 $1.3M 1.0M 1.30
Etsy Note 3/0 (Principal) 0.4 $1.3M 233k 5.55
South Jersey Inds Unit 99/99/9999 0.4 $1.3M 33k 38.50
Direxion Shs Etf Tr 20yr Tres Bear Call Option (TMV) 0.4 $1.2M 15k 81.47
Nice Sys Note 1.250% 1/1 (Principal) 0.4 $1.1M 417k 2.61
Vaneck Vectors Etf Tr Gold Miners Etf Call Option (GDX) 0.3 $975k 30k 32.50
Ark Etf Tr Innovation Etf Put Option (ARKK) 0.3 $960k 8.0k 120.00
Workday Note 0.250%10/0 (Principal) 0.3 $915k 531k 1.72
Ishares Silver Tr Ishares Call Option (SLV) 0.3 $908k 40k 22.70
Pan American Silver Corp Can Call Option (PAAS) 0.3 $901k 30k 30.03
Doordash Cl A Put Option (DASH) 0.3 $787k 6.0k 131.17
Nikola Corp Put Option (NKLA) 0.3 $778k 56k 13.89
Fti Consulting Note 2.000% 8/1 (Principal) 0.2 $735k 501k 1.47
Change Healthcare Unit 99/99/9999 0.2 $645k 8.6k 74.86
Teradyne Note 1.250%12/1 (Principal) 0.2 $631k 164k 3.85
Alta Equipment Group *w Exp 02/14/202 0.2 $611k 175k 3.50
Intl Gnrl Insurance Hldngs L *w Exp 03/17/202 0.2 $570k 641k 0.89
Gamestop Corp Cl A Put Option (GME) 0.2 $569k 3.0k 189.67
Neurocrine Biosciences Note 2.250% 5/1 (Principal) 0.2 $562k 414k 1.36
Pershing Square Tontine Hldg Com Cl A 0.2 $506k 21k 24.00
Collaborative Investmnt Ser The Spac And New Put Option (SPCX) 0.2 $485k 17k 28.53
Digital Media Solutions *w Exp 07/15/202 (DMSIW) 0.2 $485k 297k 1.63
Repligen Corp Note 0.375% 7/1 (Principal) 0.1 $441k 250k 1.76
Akamai Technologies Note 0.125% 5/0 (Principal) 0.1 $424k 350k 1.21
Vuzix Corp Com New Put Option (VUZI) 0.1 $382k 15k 25.47
Clover Health Investments Com Cl A Put Option (CLOV) 0.1 $376k 50k 7.55
Riot Blockchain Put Option (RIOT) 0.1 $373k 7.0k 53.29
Synaptics Note 0.500% 6/1 (Principal) 0.1 $369k 200k 1.84
Hubspot Note 0.250% 6/0 (Principal) 0.1 $359k 75k 4.79
Daseke *w Exp 02/27/202 0.1 $342k 1.0M 0.34
Proshares Tr Ultrashrt S&p500 0.1 $323k 30k 10.77
Q2 HLDGS Note 0.750% 6/0 (Principal) 0.1 $315k 242k 1.30
New England Rlty Assoc Ltd P Depositry Rcpt (NEN) 0.1 $307k 5.6k 54.96
Microchip Technology Note 1.625% 2/1 (Principal) 0.1 $276k 80k 3.45
Rapid7 Note 1.250% 8/0 (Principal) 0.1 $266k 145k 1.83
Zillow Group Note 1.500% 7/0 (Principal) 0.1 $255k 151k 1.69
Canoo *w Exp 12/21/202 (GOEVW) 0.1 $249k 88k 2.83
Wayfair Note 0.375% 9/0 (Principal) 0.1 $233k 77k 3.03
Inseego Corp Note 3.250% 5/0 (Principal) 0.1 $223k 210k 1.06
Altair Engr Note 0.250% 6/0 (Principal) 0.1 $217k 150k 1.45
Aes Corp Unit 99/99/9999 0.1 $217k 2.1k 103.48
Blink Charging Put Option (BLNK) 0.1 $206k 5.0k 41.20
Viavi Solutions Note 1.000% 3/0 (Principal) 0.1 $198k 150k 1.32
Newbury Street Acquisitn Cor Unit 04/30/2028 (NBSTU) 0.1 $198k 20k 9.90
Novagold Res Com New Call Option (NG) 0.1 $184k 21k 8.76
Burgerfi International *w Exp 12/16/202 (BFIIW) 0.1 $181k 47k 3.88
Pine Technology Acquisitn Unit 03/31/2028 0.1 $174k 18k 9.94
Optimumbank Holdings (OPHC) 0.1 $165k 43k 3.87
Seabridge Gold Call Option (SA) 0.1 $162k 10k 16.20
Malacca Straits Acquisition Com Cl A 0.1 $161k 16k 9.90
Rosecliff Acquisition Corp I Unit 99/99/9999 0.1 $159k 16k 9.89
Property Solutions Acquisiti Unit 03/01/2026 0.1 $157k 16k 9.81
Tanger Factory Outlet Centers Call Option (SKT) 0.1 $151k 10k 15.10
American Acquisition Oppt In Unit 05/28/2026 0.0 $150k 15k 10.00
G&p Acquisition Corp Unit 02/28/2028 0.0 $149k 15k 9.93
Wayfair Note 1.000% 8/1 (Principal) 0.0 $144k 65k 2.22
Tastemaker Acquisition Corp Com Cl A (PMGM) 0.0 $141k 15k 9.72
Btrs Holdings *w Exp 01/12/202 0.0 $138k 29k 4.73
Delwinds Ins Acquisition Cor Com Cls A 0.0 $131k 14k 9.70
New Frontier Health Corp *w Exp 11/30/202 0.0 $128k 54k 2.36
Montes Archimedes Acquisitio Com Cl A 0.0 $126k 13k 9.81
Spartacus Acquisition Corp Cl A 0.0 $124k 13k 9.84
Ampco-pittsburg Corp *w Exp 08/01/202 (AP.WS) 0.0 $117k 89k 1.32
Atlantic Ave Acquisition Cor Com Cl A 0.0 $115k 12k 9.70
Okta Note 0.125% 9/0 (Principal) 0.0 $115k 85k 1.35
Archimedes Tech Spac Partnr Unit 03/10/2026 0.0 $109k 11k 9.91
Verb Techn 0.0 $109k 78k 1.40
Ptk Acquisition Corp 0.0 $105k 11k 9.83
Comsovereign Hldg Corp *w Exp 12/18/202 (COMSW) 0.0 $90k 72k 1.25
Mcewen Mining 0.0 $83k 80k 1.04
Seanergy Maritime Hldgs Corp Shs New 0.0 $80k 75k 1.07
Hc2 Holdings Call Option 0.0 $79k 20k 3.95
Baudax Bio Call Option 0.0 $75k 58k 1.29
AVINO SILVER & GOLD Mines Lt (ASM) 0.0 $70k 56k 1.24
Briacell Therapeutics Corp *w Exp 02/24/202 (BCTXW) 0.0 $64k 59k 1.08
Verifyme *w Exp 06/22/202 (VRMEW) 0.0 $61k 39k 1.58
Pingtan Marine Enterprise Lt SHS 0.0 $58k 56k 1.04
Fat Brands *w Exp 06/30/202 (FATBW) 0.0 $53k 15k 3.53
Hycroft Mining Holding Corp *w Exp 02/12/202 (HYMCW) 0.0 $53k 102k 0.52
Sailpoint Technologies Hldgs Note 0.125% 9/1 (Principal) 0.0 $47k 25k 1.88
Electrameccanica Vehs Corp *w Exp 08/03/202 0.0 $45k 16k 2.90
Imac Hldgs *w Exp 02/12/202 0.0 $44k 102k 0.43
Pyxis Tankers *w Exp 09/15/202 (PXSAW) 0.0 $38k 59k 0.64
Soleno Therapeutics Com New 0.0 $38k 30k 1.27
Pavmed *w Exp 04/30/202 (PAVMZ) 0.0 $37k 13k 2.80
Nls Pharmaceutics *w Exp 09/25/202 (NLSPW) 0.0 $33k 35k 0.94
Medigus *w Exp 07/23/202 0.0 $32k 37k 0.86
Sierra Metals (SMTSF) 0.0 $32k 10k 3.20
Lendingtree Note 0.625% 6/0 (Principal) 0.0 $30k 25k 1.20
SeaChange International 0.0 $28k 18k 1.56
Imac Hldgs 0.0 $27k 17k 1.63
Lixte Biotechnology Hldgs In *w Exp 01/01/202 (LIXTW) 0.0 $22k 27k 0.83
Pyxis Tankers 0.0 $21k 20k 1.05
Global Blue Group Holding *w Exp 08/28/202 (GB.WS) 0.0 $19k 16k 1.23
Entera Bio *w Exp 07/02/202 0.0 $18k 35k 0.51
Hycroft Mining Holding Corp *w Exp 10/06/202 (HYMCL) 0.0 $16k 24k 0.66
Geovax Labs *w Exp 09/29/202 (GOVXW) 0.0 $14k 12k 1.16
Liberty Media Corp Del Deb 3.500% 1/1 (Principal) 0.0 $13k 13k 1.00
Landsea Homes Corp *w Exp 01/07/202 (LSEAW) 0.0 $4.0k 16k 0.25
Broadmark Rlty Cap *w Exp 11/15/202 0.0 $2.0k 10k 0.20