Warberg Asset Management

Warberg Asset Management as of June 30, 2021

Portfolio Holdings for Warberg Asset Management

Warberg Asset Management holds 189 positions in its portfolio as reported in the June 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 Put Option (SPY) 30.0 $155M 361k 428.06
Tesla Note 2.375% 3/1 (Principal) 5.0 $26M 2.5M 10.36
Plug Power Note 3.750% 6/0 (Principal) 4.6 $24M 3.5M 6.81
Nuance Communications DBCV 1.000%12/1 (Principal) 2.5 $13M 5.7M 2.26
Snap Note 0.250% 5/0 (Principal) 2.4 $13M 4.0M 3.15
RH Note 6/1 (Principal) 2.3 $12M 3.4M 3.49
Sea Note 2.375%12/0 (Principal) 2.2 $11M 3.7M 3.08
Nuance Communications Note 1.250% 4/0 (Principal) 2.2 $11M 4.1M 2.78
Servicenow Note 6/0 (Principal) 2.1 $11M 2.8M 3.81
Wix Note 7/0 (Principal) 2.1 $11M 5.2M 2.06
Wayfair Note 1.125%11/0 (Principal) 1.9 $9.7M 3.6M 2.74
RH Note 9/1 (Principal) 1.8 $9.1M 2.8M 3.20
Dexcom Note 0.750%12/0 (Principal) 1.7 $8.7M 3.3M 2.60
Hannon Armstrong Sust Infr C Note 4.125% 9/0 (Principal) 1.6 $8.4M 4.1M 2.06
Zillow Group Note 0.750% 9/0 (Principal) 1.3 $6.9M 2.5M 2.82
Teradyne Note 1.250%12/1 (Principal) 1.3 $6.9M 1.6M 4.24
Tesla Motors Put Option (TSLA) 1.3 $6.8M 10k 679.70
On Semiconductor Corp Note 1.625%10/1 (Principal) 1.3 $6.5M 3.4M 1.90
Square Note 0.500% 5/1 (Principal) 1.3 $6.5M 2.1M 3.13
Willscot Mobil Mini Hldng Com Cl A (WSC) 1.2 $6.3M 227k 27.87
Mercadolibre Note 2.000% 8/1 (Principal) 1.1 $5.5M 1.6M 3.55
Microsoft Corporation Call Option (MSFT) 1.1 $5.4M 20k 270.90
Hostess Brands *w Exp 11/04/202 1.0 $5.2M 2.1M 2.43
Palo Alto Networks Note 0.750% 7/0 (Principal) 1.0 $5.1M 3.5M 1.46
Zendesk Note 0.250% 3/1 (Principal) 1.0 $5.0M 2.2M 2.29
Bandwidth Note 0.250% 3/0 (Principal) 0.9 $4.9M 3.0M 1.63
Etsy Note 0.125%10/0 (Principal) 0.9 $4.7M 2.0M 2.40
Amicus Therapeutics Note 3.000%12/1 (Principal) 0.9 $4.4M 2.8M 1.57
Q2 HLDGS Note 0.750% 2/1 (Principal) 0.8 $4.2M 2.3M 1.81
Microchip Technology Note 2.250% 2/1 (Principal) 0.8 $4.1M 1.8M 2.24
Varonis Sys Note 1.250% 8/1 (Principal) 0.8 $3.9M 2.0M 1.96
KBR Note 2.500%11/0 (Principal) 0.6 $3.2M 2.1M 1.57
Repligen Corp Note 0.375% 7/1 (Principal) 0.6 $3.2M 1.8M 1.79
Penn Natl Gaming Note 2.750% 5/1 (Principal) 0.6 $3.1M 915k 3.35
Hercules Capital DBCV 4.375% 2/0 (Principal) 0.6 $2.9M 2.8M 1.06
Doordash Cl A Put Option (DASH) 0.6 $2.9M 16k 178.31
Barclays Bank Ipth Sr B S&p 0.5 $2.7M 91k 29.49
Akamai Technologies Note 0.125% 5/0 (Principal) 0.5 $2.6M 2.0M 1.31
Square Note 0.125% 3/0 (Principal) 0.5 $2.6M 1.3M 2.06
Coupa Software Note 0.125% 6/1 (Principal) 0.5 $2.6M 1.5M 1.73
Southwest Airls Note 1.250% 5/0 (Principal) 0.5 $2.6M 1.7M 1.51
Amc Entmt Hldgs Cl A Com Put Option 0.5 $2.5M 44k 56.68
Nextera Energy Unit 09/01/2022s 0.5 $2.5M 44k 55.87
Infra And Energy Altrntive I *w Exp 03/27/202 0.5 $2.4M 1.1M 2.15
Suro Capital Corp Com New (SSSS) 0.5 $2.3M 174k 13.49
Fti Consulting Note 2.000% 8/1 (Principal) 0.4 $2.3M 1.6M 1.43
Knowles Corp Note 3.250%11/0 (Principal) 0.4 $2.2M 2.0M 1.11
Innovative Industria A Put Option (IIPR) 0.4 $2.2M 12k 191.04
Cree Note 1.750% 5/0 (Principal) 0.4 $2.2M 1.0M 2.17
Blackline Note 0.125% 8/0 (Principal) 0.4 $2.1M 1.3M 1.61
Hci Group Note 4.250% 3/0 (Principal) 0.4 $2.0M 1.2M 1.64
Roku Com Cl A Put Option (ROKU) 0.4 $1.8M 4.0k 459.25
Insulet Corp Note 1.375%11/1 (Principal) 0.4 $1.8M 623k 2.95
Zynga Note 0.250% 6/0 (Principal) 0.3 $1.7M 1.2M 1.38
Rapid7 Note 1.250% 8/0 (Principal) 0.3 $1.7M 755k 2.28
Essential Utils Unit 04/30/2022 0.3 $1.5M 27k 57.45
Inseego 0.3 $1.5M 146k 10.10
Ishares Silver Tr Ishares Call Option (SLV) 0.3 $1.5M 60k 24.22
NVIDIA Corporation Call Option (NVDA) 0.3 $1.4M 7.0k 200.00
Nuance Communications Debt 1.500%11/0 (Principal) 0.3 $1.3M 509k 2.64
Nice Sys Note 1.250% 1/1 (Principal) 0.2 $1.3M 427k 2.97
Colfax Corp Unit 01/15/2022t 0.2 $1.3M 6.7k 187.02
Docusign Note 0.500% 9/1 (Principal) 0.2 $1.1M 292k 3.91
Exxon Mobil Corporation Call Option (XOM) 0.2 $1.1M 17k 63.06
Direxion Shs Etf Tr 20yr Tres Bear Call Option (TMV) 0.2 $977k 15k 65.13
Purecycle Technologies Put Option (PCT) 0.2 $970k 41k 23.66
Ark Etf Tr Innovation Etf Put Option (ARKK) 0.2 $915k 7.0k 130.71
Gfl Environmental Unit 99/99/9999t 0.2 $907k 12k 74.77
Blackberry Put Option (BB) 0.2 $843k 69k 12.22
Vaneck Vectors Etf Tr Gold Miners Etf Call Option (GDX) 0.2 $833k 25k 34.00
Gcm Grosvenor *w Exp 11/17/202 (GCMGW) 0.2 $829k 538k 1.54
Nikola Corp Put Option 0.2 $813k 45k 18.07
Snap Note 0.750% 8/0 (Principal) 0.2 $785k 260k 3.02
Digital Media Solutions *w Exp 07/15/202 (DMSIW) 0.1 $770k 558k 1.38
Mudrick Capital Acqu Corp Ii Com Cl A 0.1 $761k 61k 12.48
Ford Motor Company Call Option (F) 0.1 $743k 50k 14.86
Arbor Realty Trust Note 5.250% 7/0 (Principal) 0.1 $740k 500k 1.48
New England Rlty Assoc Ltd P Depositry Rcpt (NEN) 0.1 $660k 11k 60.00
Sea Note 1.000%12/0 (Principal) 0.1 $657k 120k 5.47
Pan American Silver Corp Can Call Option (PAAS) 0.1 $643k 23k 28.58
Intl Gnrl Insurance Hldngs L *w Exp 03/17/202 0.1 $639k 639k 1.00
Peloton Interactive Cl A Com Put Option (PTON) 0.1 $620k 5.0k 124.00
Pershing Square Tontine Hldg Com Cl A 0.1 $569k 25k 22.76
Zillow Group Note 1.375% 9/0 (Principal) 0.1 $567k 200k 2.83
Alfi *w Exp 04/29/202 (ALFWQ) 0.1 $563k 55k 10.26
Pavmed *w Exp 04/30/202 (PAVMZ) 0.1 $521k 109k 4.80
1847 Goedeker *w Exp 99/99/999 (POLWQ) 0.1 $478k 225k 2.13
Kaleyra *w Exp 11/25/202 0.1 $461k 144k 3.20
Hubspot Note 0.250% 6/0 (Principal) 0.1 $460k 75k 6.13
Proshares Tr Pshs Ultsh 20yrs Call Option (TBT) 0.1 $452k 24k 18.83
Troika Media Group *w Exp 04/13/202 0.1 $439k 556k 0.79
Gamestop Corp Cl A (GME) 0.1 $428k 2.0k 214.00
American Eagle Outfitters In Note 3.750% 4/1 (Principal) 0.1 $423k 97k 4.36
Colony Starwood Homes Note 3.500% 1/1 (Principal) 0.1 $347k 212k 1.64
Kiromic Biopharma 0.1 $303k 63k 4.81
Etsy Note 3/0 (Principal) 0.1 $289k 51k 5.67
Hubspot Note 0.375% 6/0 (Principal) 0.1 $265k 125k 2.12
Liveperson Note 0.750% 3/0 (Principal) 0.1 $264k 150k 1.76
Protagenic Therapeutics *w Exp 04/13/202 (PTIXW) 0.1 $260k 366k 0.71
Inhibikase Therapeutics 0.0 $252k 90k 2.80
Algonquin Pwr Utils Corp Unit 99/99/9999 (AQNU) 0.0 $248k 5.0k 49.60
Mountain Crest Acqusitn Crp Unit 06/29/2026 0.0 $248k 25k 9.92
Workday Note 0.250%10/0 (Principal) 0.0 $243k 147k 1.65
Louisiana-Pacific Corporation Put Option (LPX) 0.0 $241k 4.0k 60.25
Wayfair Note 0.375% 9/0 (Principal) 0.0 $239k 79k 3.03
Altair Engr Note 0.250% 6/0 (Principal) 0.0 $233k 150k 1.55
Proshares Tr Ultrashrt S&p500 0.0 $226k 25k 9.04
Viavi Solutions Note 1.000% 3/0 (Principal) 0.0 $213k 150k 1.42
Conmed Corp Note 2.625% 2/0 (Principal) 0.0 $212k 131k 1.62
Cerevel Therapeutics Hldng I Put Option (CERE) 0.0 $205k 8.0k 25.62
Insulet Corp Note 0.375% 9/0 (Principal) 0.0 $204k 150k 1.36
Global Consumer Acquisitn Unit 05/21/2026 0.0 $200k 20k 10.00
Far Peak Acquisition Corp Shs Cl A 0.0 $198k 20k 9.95
Citic Capital Acquisition Com Cl A 0.0 $197k 20k 9.90
Newbury Street Acquisitn Cor (NBST) 0.0 $193k 20k 9.65
Tesla Note 2.000% 5/1 (Principal) 0.0 $186k 17k 10.94
Clever Leaves Holdings *w Exp 12/18/202 (CLVRW) 0.0 $184k 89k 2.08
Clover Health Investments *w Exp 04/21/202 0.0 $179k 35k 5.11
Pine Technology Acquisitn Class A Com 0.0 $170k 18k 9.71
Cel-sci Corp Com Par New Put Option 0.0 $165k 19k 8.68
Altitude Acquisition Corp Com Cl A 0.0 $161k 16k 9.82
Malacca Straits Acquisition Com Cl A 0.0 $161k 16k 9.90
Rosecliff Acquisition Corp I Com Cl A 0.0 $156k 16k 9.70
Property Solutions Acquisiti Com Cl A 0.0 $155k 16k 9.69
Atlas Crest Invt Corp 0.0 $151k 15k 9.93
Burgerfi International *w Exp 12/16/202 0.0 $150k 67k 2.24
Coliseum Acquisition Corp Unit 04/02/2028 (MITAU) 0.0 $148k 15k 9.87
Conx Corp Com Cl A (CNXX) 0.0 $148k 15k 9.84
Pine Is Acquisition Corp Cl A 0.0 $146k 15k 9.73
G&p Acquisition Corp Com Cl A 0.0 $146k 15k 9.73
Giginternational1 Unit 05/19/2026 0.0 $145k 14k 10.07
Tastemaker Acquisition Corp Com Cl A 0.0 $141k 15k 9.72
Proofpoint Note 0.250% 8/1 (Principal) 0.0 $137k 109k 1.26
Optimumbank Holdings (OPHC) 0.0 $134k 28k 4.82
Clover Health Investments Com Cl A Put Option (CLOV) 0.0 $133k 10k 13.30
American Vrtual Cloud Tech I 0.0 $133k 22k 5.97
Delwinds Ins Acquisition Cor Com Cls A 0.0 $132k 14k 9.78
Btrs Holdings *w Exp 01/12/202 0.0 $130k 33k 3.94
Novagold Res Com New Call Option (NG) 0.0 $126k 16k 8.03
Canoo *w Exp 12/21/202 (GOEWQ) 0.0 $126k 42k 3.00
Dila Capital Acquisition Cor Unit 99/99/9999 0.0 $126k 13k 10.11
Data Storage Corp *w Exp 05/13/202 (DTSTW) 0.0 $121k 99k 1.22
Soaring Eagle Acquisition Cl A Shs 0.0 $120k 12k 10.00
Dpcm Cap Com Cl A 0.0 $119k 12k 9.92
Bm Technologies *w Exp 01/04/202 (BMTX.WS) 0.0 $118k 46k 2.57
Vpc Impact Acquisition Hldng Shs Cl A 0.0 $118k 12k 9.99
Daseke *w Exp 02/27/202 0.0 $117k 1.0M 0.12
Dicks Sporting Goods Note 3.250% 4/1 (Principal) 0.0 $116k 39k 2.97
Atlantic Ave Acquisition Cor Com Cl A 0.0 $115k 12k 9.70
Jaws Hurricane Acquisitn Cor Unit 06/08/2026 0.0 $114k 11k 10.02
Whole Earth Brands *w Exp 06/25/202 (FREEW) 0.0 $111k 50k 2.22
Archimedes Tech Spac Partnr Unit 99/99/9999 0.0 $107k 11k 9.73
Zanite Acquisition Corp Com Cl A 0.0 $107k 11k 10.09
Elliott Opportunity Ii Corp Unit 99/99/9999 0.0 $100k 10k 10.00
Grom Social Enterprises *w Exp 06/17/202 0.0 $90k 90k 1.00
Sos Spnsord Ads New Put Option 0.0 $89k 27k 3.31
Digital Brands Group *w Exp 05/01/202 0.0 $88k 52k 1.70
Ampco-pittsburg Corp *w Exp 08/01/202 (AP.WS) 0.0 $79k 88k 0.90
Harbor Custom Development In *w Exp 05/09/202 (HCDWQ) 0.0 $76k 120k 0.63
Bilibili Note 1.375% 4/0 (Principal) 0.0 $74k 15k 4.93
Orbsat Corp *w Exp 04/29/202 (NXPLW) 0.0 $65k 37k 1.76
Auddia *w Exp 10/17/202 (AUUDW) 0.0 $60k 32k 1.88
AVINO SILVER & GOLD Mines Lt (ASM) 0.0 $59k 50k 1.18
Briacell Therapeutics Corp *w Exp 02/24/202 (BCTXW) 0.0 $58k 32k 1.81
Verifyme *w Exp 06/22/202 0.0 $52k 37k 1.40
Harbor Custom Development In 0.0 $50k 16k 3.21
Sailpoint Technologies Hldgs Note 0.125% 9/1 (Principal) 0.0 $47k 25k 1.88
Entera Bio *w Exp 07/02/202 0.0 $45k 45k 1.00
Zivo Bioscience *w Exp 05/14/202 (ZIVOW) 0.0 $45k 30k 1.50
Nls Pharmaceutics *w Exp 09/25/202 (NLSPW) 0.0 $44k 40k 1.10
Hycroft Mining Holding Corp *w Exp 10/06/202 0.0 $43k 51k 0.84
Wayfair Note 1.000% 8/1 (Principal) 0.0 $42k 19k 2.21
Comsovereign Hldg Corp *w Exp 12/18/202 (COMSW) 0.0 $41k 35k 1.17
Soleno Therapeutics Com New 0.0 $34k 30k 1.13
Imac Hldgs *w Exp 02/12/202 0.0 $33k 66k 0.50
Panbela Therapeutics 0.0 $33k 12k 2.85
Gee Group (JOB) 0.0 $31k 54k 0.57
Advantage Solutions *w Exp 07/18/202 (ADVWW) 0.0 $30k 12k 2.50
Zillow Group Note 1.500% 7/0 (Principal) 0.0 $23k 15k 1.53
Pyxis Tankers 0.0 $22k 25k 0.88
Geovax Labs *w Exp 09/29/202 0.0 $22k 16k 1.35
SeaChange International 0.0 $20k 15k 1.30
Pyxis Tankers *w Exp 09/15/202 (PXSAW) 0.0 $19k 47k 0.40
Medigus *w Exp 07/23/202 0.0 $19k 33k 0.58
Liberty Media Corp Del Deb 3.500% 1/1 (Principal) 0.0 $15k 13k 1.16
Splash Beverage Group *w Exp 99/99/999 (SBEVW) 0.0 $15k 14k 1.11
Gx Acquisition Corp *w Exp 05/24/202 0.0 $14k 10k 1.40
Lixte Biotechnology Hldgs In *w Exp 01/01/202 (LIXTW) 0.0 $11k 14k 0.77
Newbury Street Acquisitn Cor *w Exp 04/30/202 (NBSTW) 0.0 $8.0k 10k 0.80