Warberg Asset Management

Warberg Asset Management as of Sept. 30, 2021

Portfolio Holdings for Warberg Asset Management

Warberg Asset Management holds 191 positions in its portfolio as reported in the September 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) 36.4 $225M 523k 429.20
Tesla Note 2.375% 3/1 (Principal) 4.8 $30M 2.5M 11.83
Nuance Communications Note 1.250% 4/0 (Principal) 3.5 $22M 7.7M 2.81
Plug Power Note 3.750% 6/0 (Principal) 2.9 $18M 3.5M 5.10
Microchip Technology Note 1.625% 2/1 (Principal) 2.8 $17M 5.1M 3.38
Cloudflare Note 0.750% 5/1 (Principal) 2.4 $15M 5.0M 3.02
RH Note 9/1 (Principal) 2.3 $14M 4.6M 3.15
Snap Note 0.250% 5/0 (Principal) 2.2 $14M 4.0M 3.41
Repligen Corp Note 0.375% 7/1 (Principal) 2.1 $13M 5.0M 2.53
Sea Note 2.375%12/0 (Principal) 2.0 $13M 3.5M 3.55
On Semiconductor Corp Note 1.625%10/1 (Principal) 2.0 $12M 5.5M 2.25
RH Note 6/1 (Principal) 1.9 $12M 3.4M 3.43
Dexcom Note 0.750%12/0 (Principal) 1.8 $11M 3.4M 3.33
Invesco Qqq Tr Unit Ser 1 (QQQ) 1.7 $11M 30k 358.00
Palo Alto Networks Note 0.750% 7/0 (Principal) 1.7 $10M 5.7M 1.82
Wayfair Note 1.125%11/0 (Principal) 1.3 $8.0M 3.6M 2.25
Tesla Motors Put Option (TSLA) 1.3 $7.8M 10k 775.50
Sea Note 1.000%12/0 (Principal) 1.2 $7.5M 1.2M 6.36
Wix Note 7/0 (Principal) 1.2 $7.2M 4.8M 1.48
Mercadolibre Note 2.000% 8/1 (Principal) 1.1 $6.6M 1.7M 3.82
Etsy Note 0.125%10/0 (Principal) 1.0 $6.2M 2.6M 2.43
Square Note 0.500% 5/1 (Principal) 0.9 $5.5M 1.8M 3.08
Zillow Group Note 0.750% 9/0 (Principal) 0.8 $5.1M 2.5M 2.07
Zendesk Note 0.250% 3/1 (Principal) 0.7 $4.4M 2.4M 1.87
Chesapeake Energy Corp *w Exp 99/99/999 (EXEEW) 0.7 $4.3M 118k 36.31
Workday Note 0.250%10/0 (Principal) 0.7 $4.3M 2.5M 1.71
Hercules Capital DBCV 4.375% 2/0 (Principal) 0.7 $4.2M 4.0M 1.05
Varonis Sys Note 1.250% 8/1 (Principal) 0.7 $4.1M 2.0M 2.06
Middleby Corp Note 1.000% 9/0 (Principal) 0.6 $3.7M 2.6M 1.43
Doordash Cl A Put Option (DASH) 0.6 $3.7M 18k 206.00
Ishares Tr 20 Yr Tr Bd Etf Put Option (TLT) 0.6 $3.6M 25k 144.32
Moderna Put Option (MRNA) 0.6 $3.5M 9.0k 384.89
Microchip Technology Note 2.250% 2/1 (Principal) 0.6 $3.4M 1.5M 2.30
Q2 HLDGS Note 0.750% 2/1 (Principal) 0.5 $3.3M 2.3M 1.44
KBR Note 2.500%11/0 (Principal) 0.5 $3.3M 2.1M 1.61
Square Note 0.125% 3/0 (Principal) 0.5 $3.2M 1.6M 2.03
Pavmed *w Exp 04/30/202 (PAVMZ) 0.5 $3.1M 446k 6.94
Akamai Technologies Note 0.125% 5/0 (Principal) 0.5 $3.0M 2.5M 1.21
Penn Natl Gaming Note 2.750% 5/1 (Principal) 0.5 $3.0M 928k 3.20
Nextera Energy Unit 09/01/2022s 0.5 $2.8M 48k 58.52
Southwest Airls Note 1.250% 5/0 (Principal) 0.4 $2.5M 1.7M 1.49
Mudrick Capital Acqu Corp Ii Com Cl A 0.4 $2.5M 251k 9.95
Apple Put Option (AAPL) 0.4 $2.5M 18k 141.49
Hubspot Note 0.250% 6/0 (Principal) 0.4 $2.3M 325k 7.14
Ishares Silver Tr Ishares Call Option (SLV) 0.4 $2.3M 110k 20.52
Blackline Note 0.125% 8/0 (Principal) 0.4 $2.2M 1.3M 1.68
Fti Consulting Note 2.000% 8/1 (Principal) 0.4 $2.2M 1.6M 1.40
Hci Group Note 4.250% 3/0 (Principal) 0.4 $2.2M 1.2M 1.83
Essential Utils Unit 04/30/2022 0.3 $2.1M 36k 57.38
Knowles Corp Note 3.250%11/0 (Principal) 0.3 $2.0M 2.0M 1.02
Innovative Industria A Put Option (IIPR) 0.3 $1.9M 8.4k 231.19
Insulet Corp Note 1.375%11/1 (Principal) 0.3 $1.9M 623k 3.05
Nice Sys Note 1.250% 1/1 (Principal) 0.3 $1.8M 536k 3.41
Chesapeake Energy Corp *w Exp 09/02/202 (EXEEL) 0.3 $1.8M 62k 29.24
Willscot Mobil Mini Hldng Com Cl A (WSC) 0.3 $1.8M 56k 31.71
Barclays Bank Ipth Sr B S&p Call Option 0.3 $1.7M 60k 27.83
Vaneck Etf Trust Gold Miners Etf Call Option (GDX) 0.3 $1.6M 55k 29.47
Nextera Energy Unit 99/99/9999 0.2 $1.5M 30k 50.97
Infra And Energy Altrntive I *w Exp 03/27/202 0.2 $1.5M 1.3M 1.18
Suro Capital Corp Com New (SSSS) 0.2 $1.5M 114k 12.91
Docusign Note 0.500% 9/1 (Principal) 0.2 $1.3M 367k 3.59
Rambus Inc Del Note 1.375% 2/0 (Principal) 0.2 $1.2M 977k 1.26
Ark Etf Tr Innovation Etf Put Option (ARKK) 0.2 $1.1M 10k 110.50
Snap Note 0.750% 8/0 (Principal) 0.2 $1.1M 326k 3.26
Inseego 0.2 $976k 146k 6.67
Direxion Shs Etf Tr 20yr Tres Bear Call Option (TMV) 0.2 $935k 15k 62.33
Digitalocean Hldgs Put Option (DOCN) 0.1 $776k 10k 77.60
New England Rlty Assoc Ltd P Depositry Rcpt (NEN) 0.1 $737k 12k 60.96
Pershing Square Tontine Hldg Com Cl A 0.1 $690k 35k 19.71
Zillow Group Note 1.375% 9/0 (Principal) 0.1 $685k 325k 2.11
Ford Motor Company Call Option (F) 0.1 $680k 48k 14.17
Conmed Corp Note 2.625% 2/0 (Principal) 0.1 $626k 403k 1.55
Dicks Sporting Goods Note 3.250% 4/1 (Principal) 0.1 $581k 158k 3.68
Gcm Grosvenor *w Exp 11/17/202 (GCMGW) 0.1 $575k 289k 1.99
Intl Gnrl Insurance Hldngs L *w Exp 03/17/202 0.1 $458k 650k 0.70
Proshares Tr Pshs Ultsh 20yrs Call Option (TBT) 0.1 $440k 24k 18.33
Quantumscape Corp Com Cl A Call Option (QS) 0.1 $417k 17k 24.53
Datchat *w Exp 08/13/202 (MYSEW) 0.1 $393k 46k 8.61
Pan American Silver Corp Can Call Option (PAAS) 0.1 $384k 17k 23.27
Ashford Hospitality Tr Com Shs Call Option 0.1 $383k 26k 14.73
Nikola Corp Put Option 0.1 $373k 35k 10.66
Kaleyra *w Exp 11/25/202 0.1 $373k 136k 2.74
Atlas Air Worldwide Hldgs In Note 2.250% 6/0 (Principal) 0.1 $353k 300k 1.18
Peloton Interactive Cl A Com Put Option (PTON) 0.1 $348k 4.0k 87.00
Sailpoint Technologies Hldgs Note 0.125% 9/1 (Principal) 0.1 $322k 200k 1.61
Altair Engr Note 0.250% 6/0 (Principal) 0.1 $312k 201k 1.55
Viavi Solutions Note 1.000% 3/0 (Principal) 0.0 $293k 224k 1.31
Insulet Corp Note 0.375% 9/0 (Principal) 0.0 $278k 199k 1.40
Astra Space *w Exp 08/04/202 0.0 $249k 105k 2.37
Daseke *w Exp 02/27/202 0.0 $218k 1.1M 0.21
Tesla Note 2.000% 5/1 (Principal) 0.0 $212k 17k 12.47
Purecycle Technologies Put Option (PCT) 0.0 $212k 16k 13.25
Noble Rock Acquisition Corp Cl A Shs 0.0 $207k 21k 9.71
Troika Media Group *w Exp 04/13/202 0.0 $202k 566k 0.36
Blacksky Technology *w Exp 10/30/202 (BKSY.WS) 0.0 $200k 127k 1.58
Digital Media Solutions *w Exp 07/15/202 (DMSIW) 0.0 $199k 262k 0.76
Global Consumer Acquisitn 0.0 $198k 20k 9.90
Citic Capital Acquisition Com Cl A 0.0 $198k 20k 9.95
Far Peak Acquisition Corp Shs Cl A 0.0 $198k 20k 9.95
Newbury Street Acquisitn Cor (NBST) 0.0 $194k 20k 9.70
Clever Leaves Holdings *w Exp 12/18/202 (CLVRW) 0.0 $187k 167k 1.12
Grom Social Enterprises *w Exp 06/17/202 0.0 $184k 161k 1.14
Pine Technology Acquisitn Class A Com 0.0 $169k 18k 9.66
Malacca Straits Acquisition Com Cl A 0.0 $162k 16k 9.96
Altitude Acquisition Corp Com Cl A 0.0 $161k 16k 9.82
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
G&p Acquisition Corp Com Cl A 0.0 $148k 15k 9.87
Macondray Cap Acquisitn Corp Class A Ord Shs 0.0 $148k 15k 9.87
Hostess Brands *w Exp 11/04/202 0.0 $148k 50k 2.98
Conx Corp Com Cl A (CNXX) 0.0 $147k 15k 9.77
Pine Is Acquisition Corp Cl A 0.0 $146k 15k 9.73
Tastemaker Acquisition Corp Com Cl A 0.0 $143k 15k 9.86
Protagenic Therapeutics *w Exp 04/13/202 (PTIXW) 0.0 $143k 365k 0.39
Worksport *w Exp 06/01/202 (WKSPW) 0.0 $134k 73k 1.84
Delwinds Ins Acquisition Cor Com Cls A 0.0 $133k 14k 9.85
Briacell Therapeutics Corp *w Exp 02/24/202 (BCTXW) 0.0 $130k 27k 4.81
Proshares Tr Ultrashrt S&p500 0.0 $124k 14k 8.86
Dpcm Cap Com Cl A 0.0 $117k 12k 9.75
Atlantic Ave Acquisition Cor Com Cl A 0.0 $116k 12k 9.79
Gladstone Acquisition Corp Unit 04/01/2024 0.0 $115k 11k 10.15
Seqll *w Exp 08/31/202 (SQLLW) 0.0 $113k 107k 1.06
Parabellum Acquisition Corp Unit 99/99/9999 0.0 $110k 11k 10.00
Novagold Res Com New Call Option (NG) 0.0 $108k 16k 6.88
Archimedes Tech Spac Partnr Unit 99/99/9999 0.0 $108k 11k 9.82
Jaws Hurricane Acquisitn Cor Class A Com 0.0 $108k 11k 9.75
Zanite Acquisition Corp Com Cl A 0.0 $107k 11k 10.09
Clarus Therapeutics Hldngs I *w Exp 08/11/202 (CRXWQ) 0.0 $105k 140k 0.75
Hhg Capital Corporation Unit 02/25/2026 (HHGCU) 0.0 $103k 10k 10.21
Humacyte *w Exp 09/21/202 (HUMAW) 0.0 $103k 36k 2.89
Ezfill Holdings Com New 0.0 $102k 25k 4.08
Chavant Capital Acquisitn Ordinary Shares 0.0 $99k 10k 9.90
Jatt Acquisition Corp Shs Cl A 0.0 $99k 10k 9.90
Celularity *w Exp 05/24/202 (CELUW) 0.0 $98k 85k 1.15
Optimumbank Holdings (OPHC) 0.0 $98k 19k 5.16
American Eagle Outfitters In Note 3.750% 4/1 (Principal) 0.0 $98k 32k 3.06
Elliott Opportunity Ii Corp Shs Cl A 0.0 $97k 10k 9.70
Bm Technologies *w Exp 01/04/202 (BMTX.WS) 0.0 $96k 64k 1.50
Data Storage Corp *w Exp 05/13/202 (DTSTW) 0.0 $93k 93k 1.00
Vista Gold Corp Com New (VGZ) 0.0 $91k 126k 0.72
Btrs Holdings *w Exp 01/12/202 0.0 $85k 32k 2.62
Dermata Therapeutics *w Exp 08/13/202 (DRMAW) 0.0 $85k 100k 0.85
Whole Earth Brands *w Exp 06/25/202 (FREEW) 0.0 $78k 50k 1.56
Spire Global *w Exp 01/01/203 0.0 $77k 45k 1.70
Verifyme *w Exp 06/22/202 0.0 $77k 57k 1.35
Alfi *w Exp 04/29/202 (ALFWQ) 0.0 $75k 20k 3.75
Ampco-pittsburg Corp *w Exp 08/01/202 (AP.WS) 0.0 $71k 85k 0.84
Jerash Hldgs Us (JRSH) 0.0 $67k 10k 6.70
Highpeak Energy *w Exp 08/21/202 (HPKEW) 0.0 $66k 30k 2.24
Harbor Custom Development In *w Exp 05/09/202 (HCDWQ) 0.0 $54k 96k 0.56
Auddia *w Exp 10/17/202 (AUUDW) 0.0 $52k 70k 0.74
Digital Brands Group *w Exp 05/01/202 0.0 $52k 68k 0.77
Petvivo Hldgs *w Exp 08/13/202 (PETVW) 0.0 $50k 65k 0.77
Geovax Labs *w Exp 09/29/202 0.0 $49k 35k 1.40
Inhibikase Therapeutics 0.0 $49k 26k 1.88
Nuance Communications DBCV 1.000%12/1 (Principal) 0.0 $46k 20k 2.30
Orbsat Corp *w Exp 04/29/202 (NXPLW) 0.0 $45k 16k 2.81
Alzamend Neuro Com New 0.0 $43k 14k 3.07
Zivo Bioscience *w Exp 05/14/202 (ZIVOW) 0.0 $40k 40k 1.00
Pyxis Tankers 0.0 $38k 50k 0.76
Legato Merger Corp *w Exp 12/31/202 0.0 $38k 15k 2.53
Verb Technology *w Exp 03/14/202 0.0 $38k 55k 0.69
Kiromic Biopharma 0.0 $37k 12k 3.08
Red Cat Hldgs (RCAT) 0.0 $35k 10k 3.50
Agriforce Growing Systems Lt *w Exp 02/01/202 (AGRIW) 0.0 $32k 58k 0.56
Coliseum Acquisition Corp Class A Ord Shs (MITA) 0.0 $30k 15k 2.00
Nls Pharmaceutics *w Exp 09/25/202 (NLSPW) 0.0 $29k 36k 0.82
Seanergy Maritime Hldgs Corp Shs New 0.0 $29k 20k 1.45
Imac Hldgs *w Exp 02/12/202 0.0 $28k 66k 0.42
Canoo *w Exp 12/21/202 (GOEWQ) 0.0 $28k 15k 1.87
Soleno Therapeutics Com New 0.0 $28k 30k 0.93
Inspira Technologies Oxy Bhn *w Exp 06/30/202 (IINNW) 0.0 $26k 31k 0.84
Pyxis Tankers *w Exp 09/15/202 (PXSAW) 0.0 $25k 98k 0.26
Splash Beverage Group *w Exp 99/99/999 (SBEVW) 0.0 $24k 45k 0.53
Castor Maritime Shs New 0.0 $24k 10k 2.40
Entera Bio *w Exp 07/02/202 0.0 $23k 45k 0.51
Jupiter Wellness Com New (SHOT) 0.0 $23k 16k 1.44
Burgerfi International *w Exp 12/16/202 0.0 $22k 14k 1.61
Lixte Biotechnology Hldgs In *w Exp 01/01/202 (LIXTW) 0.0 $20k 36k 0.56
Guardforce Ai *w Exp 09/01/202 (GFAIW) 0.0 $19k 23k 0.82
Hycroft Mining Holding Corp *w Exp 10/06/202 0.0 $18k 51k 0.35
Metromile *w Exp 02/09/202 0.0 $17k 20k 0.85
SeaChange International 0.0 $16k 15k 1.04
Liberty Media Corp Del Deb 3.500% 1/1 (Principal) 0.0 $16k 13k 1.23
Gee Group (JOB) 0.0 $14k 30k 0.47
G Med Innovations Hldgs *w Exp 06/30/202 0.0 $10k 26k 0.39
Creatd *w Exp 09/15/202 (CRTDW) 0.0 $9.0k 13k 0.69
Medigus *w Exp 07/23/202 0.0 $9.0k 19k 0.49
Comsovereign Hldg Corp *w Exp 12/18/202 (COMSW) 0.0 $7.0k 17k 0.42
Newbury Street Acquisitn Cor *w Exp 04/30/202 (NBSTW) 0.0 $5.0k 10k 0.50
Global Consumer Acquisitn *w Exp 05/21/202 0.0 $5.0k 10k 0.50