Warberg Asset Management

Warberg Asset Management as of Dec. 31, 2021

Portfolio Holdings for Warberg Asset Management

Warberg Asset Management holds 197 positions in its portfolio as reported in the December 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) 33.7 $182M 383k 474.90
Nuance Communications Note 1.250% 4/0 (Principal) 4.1 $22M 7.7M 2.82
Plug Pwr Note 3.750% 6/0 (Principal) 3.6 $20M 3.5M 5.62
On Semiconductor Corp Note 1.625%10/1 (Principal) 3.5 $19M 5.7M 3.28
Cloudflare Note 0.750% 5/1 (Principal) 3.3 $18M 5.0M 3.51
Avantor 6.25 PFD CNV SR 3.0 $16M 126k 129.21
Danaher Corporation 4.75 MND CV PFD 3.0 $16M 7.3k 2194.06
Palo Alto Networks Note 0.750% 7/0 (Principal) 2.2 $12M 5.6M 2.10
RH Note 9/1 (Principal) 2.0 $11M 4.3M 2.53
Hercules Capital DBCV 4.375% 2/0 (Principal) 2.0 $11M 10M 1.03
Etsy Note 0.125%10/0 (Principal) 1.9 $10M 4.0M 2.56
Microchip Technology Note 1.625% 2/1 (Principal) 1.9 $10M 3.9M 2.55
RH Note 6/1 (Principal) 1.8 $9.8M 3.4M 2.87
Sea Note 2.375%12/0 (Principal) 1.7 $9.0M 3.5M 2.56
Snap Note 0.250% 5/0 (Principal) 1.6 $8.9M 4.0M 2.22
Chesapeake Energy Corp *w Exp 99/99/999 (CHKEW) 1.6 $8.4M 210k 39.96
Invesco Qqq Tr Unit Ser 1 Put Option (QQQ) 1.5 $8.1M 20k 397.83
Starwood Waypoint Homes Note 3.500% 1/1 (Principal) 1.2 $6.5M 3.3M 1.99
Mercadolibre Note 2.000% 8/1 (Principal) 1.2 $6.4M 2.1M 3.10
Wayfair Note 1.125%11/0 (Principal) 1.2 $6.2M 3.6M 1.75
Nova Note 10/1 (Principal) 1.0 $5.5M 2.8M 1.99
Lumentum Hldgs Note 0.250% 3/1 (Principal) 1.0 $5.3M 3.0M 1.78
Liberty Media Corp Del Note 1.000% 1/3 (Principal) 1.0 $5.2M 3.0M 1.72
KBR Note 2.500%11/0 (Principal) 0.8 $4.4M 2.3M 1.91
Zendesk Note 0.250% 3/1 (Principal) 0.8 $4.4M 2.6M 1.69
Workday Note 0.250%10/0 (Principal) 0.8 $4.4M 2.3M 1.86
Middleby Corp Note 1.000% 9/0 (Principal) 0.8 $4.2M 2.6M 1.60
Zillow Group Note 0.750% 9/0 (Principal) 0.7 $3.8M 2.5M 1.56
Chesapeake Energy Corp *w Exp 99/99/999 (CHKEZ) 0.7 $3.8M 106k 35.91
Ii-vi Note 0.250% 9/0 (Principal) 0.7 $3.6M 2.5M 1.48
Q2 HLDGS Note 0.750% 2/1 (Principal) 0.6 $3.4M 2.4M 1.44
Varonis Sys Note 1.250% 8/1 (Principal) 0.6 $3.4M 2.0M 1.72
Hannon Armstrong Sust Infr C Note 8/1 (Principal) 0.6 $3.3M 2.8M 1.19
Akamai Technologies Note 0.125% 5/0 (Principal) 0.6 $3.2M 2.5M 1.31
Rambus Inc Del Note 1.375% 2/0 (Principal) 0.6 $3.1M 2.0M 1.57
Broadcom 8% Mcnv Pfd Sr A 0.6 $3.1M 1.5k 2075.36
Tesla Motors Put Option (TSLA) 0.5 $2.7M 2.6k 1056.92
Apple Put Option (AAPL) 0.5 $2.7M 15k 177.55
Essential Utils Unit 04/30/2022 0.5 $2.6M 40k 65.19
Fti Consulting Note 2.000% 8/1 (Principal) 0.5 $2.5M 1.6M 1.56
Southwest Airls Note 1.250% 5/0 (Principal) 0.4 $2.4M 1.8M 1.34
Altair Engr Note 0.250% 6/0 (Principal) 0.4 $2.1M 1.2M 1.71
Nextera Energy Unit 09/01/2022s 0.4 $2.0M 30k 68.10
Carnival Corp Note 5.750% 4/0 (Principal) 0.4 $2.0M 960k 2.12
Chesapeake Energy Corp *w Exp 09/02/202 (CHKEL) 0.4 $2.0M 62k 32.76
Blackline Note 0.125% 8/0 (Principal) 0.4 $2.0M 1.3M 1.51
Nice Sys Note 1.250% 1/1 (Principal) 0.4 $2.0M 547k 3.65
Block Note 0.125% 3/0 (Principal) 0.3 $1.8M 1.2M 1.49
Gfl Environmental Unit 99/99/9999t 0.3 $1.8M 21k 86.96
Hertz Global Hldgs *w Exp 06/30/205 (HTZWW) 0.3 $1.8M 112k 15.95
Hci Group Note 4.250% 3/0 (Principal) 0.3 $1.7M 1.2M 1.38
Home Depot Call Option (HD) 0.3 $1.5M 3.7k 415.14
Servicenow Note 6/0 (Principal) 0.3 $1.4M 300k 4.81
Sabre Corp 6.50% Conv Pfd A 0.3 $1.4M 12k 114.81
Occidental Pete Corp *w Exp 08/03/202 (OXY.WS) 0.3 $1.4M 109k 12.61
Proshares Tr Pshs Ultsh 20yrs Call Option (TBT) 0.2 $1.1M 65k 16.89
Ptc Put Option (PTC) 0.2 $993k 8.2k 121.10
Mudrick Capital Acqu Corp Ii Com Cl A 0.2 $913k 92k 9.94
Innovative Industria A Put Option (IIPR) 0.2 $894k 3.4k 262.94
Silicon Laboratories Note 0.625% 6/1 (Principal) 0.2 $834k 475k 1.76
Barclays Bank Ipth Sr B S&p Call Option 0.2 $826k 45k 18.52
Suro Capital Corp Com New (SSSS) 0.2 $813k 63k 12.99
Moderna (MRNA) 0.1 $787k 3.1k 253.83
Atlas Air Worldwide Hldgs In Note 2.250% 6/0 (Principal) 0.1 $746k 581k 1.28
Doordash Cl A Put Option (DASH) 0.1 $700k 4.7k 148.94
Coinbase Global Com Cl A Put Option (COIN) 0.1 $656k 2.6k 252.31
Vaneck Etf Trust Gold Miners Etf Call Option (GDX) 0.1 $650k 20k 32.02
Ii-vi 6% Conv Pfd A 0.1 $640k 2.3k 282.94
Pershing Square Tontine Hldg Com Cl A 0.1 $592k 30k 19.73
Ishares Tr U.s. Real Es Etf Put Option (IYR) 0.1 $592k 5.1k 116.08
Broadcom (AVGO) 0.1 $581k 873.00 665.52
Dicks Sporting Goods Note 3.250% 4/1 (Principal) 0.1 $560k 158k 3.54
Pavmed *w Exp 04/30/202 (PAVMZ) 0.1 $543k 340k 1.60
Ishares Silver Tr Ishares Call Option (SLV) 0.1 $542k 25k 21.51
Sixth Street Specialty Lendn Note 4.500% 8/0 (Principal) 0.1 $529k 415k 1.27
Zillow Group Note 1.375% 9/0 (Principal) 0.1 $524k 325k 1.61
Lucid Group Put Option (LCID) 0.1 $521k 14k 38.03
Conmed Corp Note 2.625% 2/0 (Principal) 0.1 $483k 290k 1.67
The Trade Desk Com Cl A Put Option (TTD) 0.1 $467k 5.1k 91.57
Bm Technologies *w Exp 01/04/202 (BMTX.WS) 0.1 $442k 236k 1.87
Kaleyra *w Exp 11/25/202 0.1 $434k 182k 2.38
Direxion Shs Etf Tr 20yr Tres Bear Call Option (TMV) 0.1 $414k 7.6k 54.47
Atlas Air Worldwide Hldgs In Note 1.875% 6/0 (Principal) 0.1 $389k 239k 1.63
Sailpoint Technologies Hldgs Note 0.125% 9/1 (Principal) 0.1 $356k 200k 1.78
New England Rlty Assoc Ltd P Depositry Rcpt (NEN) 0.1 $339k 5.0k 67.79
Stran & Company *w Exp 11/01/202 (SWAGW) 0.1 $318k 281k 1.13
Viavi Solutions Note 1.000% 3/0 (Principal) 0.1 $317k 224k 1.42
Cantaloupe Call Option (CTLP) 0.1 $295k 33k 8.89
Intl Gnrl Insurance Hldngs L *w Exp 03/17/202 0.0 $256k 341k 0.75
Avis Budget Put Option (CAR) 0.0 $228k 1.1k 207.27
CBDMD 8% Ser A Cum Pfd (YCBD.PA) 0.0 $227k 38k 5.97
Teradyne Note 1.250%12/1 (Principal) 0.0 $222k 43k 5.16
Ford Motor Company Put Option (F) 0.0 $210k 10k 20.79
Pyxis Tankers 7.75% Cnv Pfd A (PXSAP) 0.0 $210k 15k 13.72
Noble Rock Acquisition Corp Cl A Shs 0.0 $207k 21k 9.71
Global Consumer Acquisitn 0.0 $198k 20k 9.90
Newbury Street Acquisitn Cor (NBST) 0.0 $194k 20k 9.70
Revance Therapeutics Call Option (RVNC) 0.0 $178k 11k 16.33
Pine Technology Acquisitn Class A Com 0.0 $172k 18k 9.83
Malacca Straits Acquisition Com Cl A 0.0 $166k 16k 10.20
Gcm Grosvenor *w Exp 11/17/202 (GCMGW) 0.0 $164k 109k 1.50
Altitude Acquisition Corp Com Cl A 0.0 $162k 16k 9.88
Rosecliff Acquisition Corp I Com Cl A 0.0 $158k 16k 9.83
Property Solutions Acquisiti Com Cl A 0.0 $155k 16k 9.69
Macondray Cap Acquisitn Corp Class A Ord Shs 0.0 $148k 15k 9.87
Conx Corp Com Cl A (CNXX) 0.0 $148k 15k 9.84
G&p Acquisition Corp Com Cl A 0.0 $147k 15k 9.80
Coliseum Acquisition Corp Class A Ord Shs (MITA) 0.0 $146k 15k 9.73
Novagold Res Com New Call Option (NG) 0.0 $144k 21k 6.86
Canoo *w Exp 12/21/202 (GOEVW) 0.0 $143k 70k 2.06
Tastemaker Acquisition Corp Com Cl A 0.0 $143k 15k 9.86
Pepperlime Health Acqustn Class A Ord Shs 0.0 $139k 14k 9.83
Boxed *w Exp 12/22/202 0.0 $139k 117k 1.19
Orbsat Corp *w Exp 04/29/202 (NXPLW) 0.0 $134k 120k 1.12
Delwinds Ins Acquisition Cor Com Cls A 0.0 $134k 14k 9.93
Spree Acquisition Corp 1 Unit 99/99/9999 0.0 $130k 13k 10.00
Larkspur Health Acquisition Unit 12/20/2026 0.0 $120k 12k 10.00
Dpcm Cap Com Cl A 0.0 $118k 12k 9.83
Atlantic Ave Acquisition Cor Com Cl A 0.0 $116k 12k 9.79
Nextnav *w Exp 10/28/202 (NNAVW) 0.0 $112k 66k 1.70
Envista Holdings Corporation Note 2.375% 6/0 (Principal) 0.0 $111k 50k 2.22
Archimedes Tech Spac Partnr Unit 99/99/9999 0.0 $109k 11k 9.91
Jaws Hurricane Acquisitn Cor Class A Com 0.0 $109k 11k 9.84
Gladstone Acquisition Corp Class A Com 0.0 $108k 11k 9.97
Arogo Capital Acquisition Unit 99/99/9999 (AOGOU) 0.0 $106k 11k 10.00
Block Note 0.500% 5/1 (Principal) 0.0 $104k 50k 2.08
Aetherium Acquisition Corp Unit 12/21/2026 (GMFIU) 0.0 $100k 10k 10.00
Jatt Acquisition Corp Shs Cl A 0.0 $99k 10k 9.90
Elliott Opportunity Ii Corp Shs Cl A 0.0 $98k 10k 9.80
Chavant Capital Acquisitn Ordinary Shares 0.0 $98k 10k 9.80
American Eagle Outfitters In Note 3.750% 4/1 (Principal) 0.0 $97k 32k 3.03
Ashford Hospitality Tr Com Shs Call Option (AHT) 0.0 $96k 10k 9.60
Daseke *w Exp 02/27/202 0.0 $96k 717k 0.13
Blue Owl Capital *w Exp 05/19/202 0.0 $95k 20k 4.68
Highpeak Energy *w Exp 08/21/202 (HPKEW) 0.0 $89k 17k 5.18
Pasithea Therapeutics Corp *w Exp 08/12/202 (KTTAW) 0.0 $81k 219k 0.37
Data Storage Corp *w Exp 05/13/202 (DTSTW) 0.0 $72k 88k 0.82
Harbor Custom Development In *w Exp 10/04/202 (HCDZQ) 0.0 $69k 90k 0.77
Protagenic Therapeutics *w Exp 04/13/202 (PTIXW) 0.0 $69k 182k 0.38
Biofrontera *w Exp 10/27/202 (BFRIW) 0.0 $67k 19k 3.62
Optimumbank Holdings (OPHC) 0.0 $67k 17k 3.91
Verifyme *w Exp 06/22/202 (VRMEW) 0.0 $65k 57k 1.14
Grande West Transportation Gro (VEV) 0.0 $65k 19k 3.51
Neurosense Therapeutics *w Exp 99/99/999 (NRSNW) 0.0 $61k 67k 0.92
Whole Earth Brands *w Exp 06/25/202 (FREEW) 0.0 $59k 50k 1.18
Vista Gold Corp Com New (VGZ) 0.0 $55k 78k 0.70
Troika Media Group *w Exp 04/13/202 0.0 $53k 219k 0.24
Hannon Armstrong Sust Infr C Note 4.125% 9/0 (Principal) 0.0 $53k 27k 1.96
Kiromic Biopharma 0.0 $52k 34k 1.54
Penn Natl Gaming Note 2.750% 5/1 (Principal) 0.0 $47k 20k 2.35
Engine Gaming An Call Option 0.0 $46k 15k 3.07
Cingulate *w Exp 12/03/202 (CINGW) 0.0 $40k 57k 0.71
Neurosense Therapeutics Ordinary Shares (NRSN) 0.0 $38k 16k 2.45
Celularity *w Exp 05/24/202 (CELUW) 0.0 $37k 44k 0.85
Blacksky Technology *w Exp 10/30/202 (BKSY.WS) 0.0 $35k 64k 0.55
Surgepays *w Exp 10/22/202 (SURGW) 0.0 $34k 60k 0.57
Reliance Global Group *w Exp 02/01/202 (RELIW) 0.0 $34k 30k 1.13
Siyata Mobile *w Exp 09/24/202 (SYTAW) 0.0 $34k 42k 0.80
Applied Uv 0.0 $34k 13k 2.72
Petvivo Hldgs *w Exp 08/13/202 (PETVW) 0.0 $34k 61k 0.56
Guardforce Ai *w Exp 09/01/202 (GFAIW) 0.0 $31k 62k 0.50
Talkspace *w Exp 06/21/202 (TALKW) 0.0 $29k 125k 0.23
Bone Biologics Corp *w Exp 10/13/202 0.0 $27k 39k 0.69
Vicarious Surgical *w Exp 08/05/202 (RBOT.WS) 0.0 $26k 12k 2.17
Ampco-pittsburg Corp *w Exp 08/01/202 (AP.WS) 0.0 $25k 42k 0.59
Bt Brands *w Exp 11/12/202 (BTBDW) 0.0 $24k 33k 0.73
Mobiquity Technologies *w Exp 12/03/202 (MOBQW) 0.0 $23k 43k 0.54
Tmc The Metals Company Call Option (TMC) 0.0 $23k 11k 2.07
Worksport *w Exp 06/01/202 (WKSPW) 0.0 $23k 26k 0.89
Dermata Therapeutics *w Exp 08/13/202 (DRMAW) 0.0 $22k 51k 0.43
Aditx Therapeutics 0.0 $21k 40k 0.53
Geovax Labs *w Exp 09/29/202 (GOVXW) 0.0 $20k 21k 0.95
Planet Labs Pbc *w Exp 12/06/202 (PL.WS) 0.0 $19k 10k 1.90
Seqll *w Exp 08/31/202 (SQLLW) 0.0 $19k 23k 0.83
Inspira Technologies Oxy Bhn *w Exp 06/30/202 (IINNW) 0.0 $18k 20k 0.90
Zivo Bioscience *w Exp 05/14/202 (ZIVOW) 0.0 $18k 19k 0.93
Inhibikase Therapeutics 0.0 $18k 13k 1.44
Ezfill Holdings Com New 0.0 $17k 12k 1.42
Digital Brands Group *w Exp 05/01/202 0.0 $17k 33k 0.52
Heartbeam *w Exp 10/31/202 (BEATW) 0.0 $14k 19k 0.75
Creatd *w Exp 09/15/202 (CRTDW) 0.0 $14k 25k 0.57
Livexlive Media (LVO) 0.0 $13k 10k 1.30
Splash Beverage Group *w Exp 99/99/999 (SBEV.WS) 0.0 $13k 41k 0.32
Spire Global *w Exp 08/16/202 0.0 $13k 30k 0.44
Pyxis Tankers 0.0 $12k 25k 0.48
Pyxis Tankers *w Exp 09/15/202 (PXSAW) 0.0 $12k 82k 0.15
Grom Social Enterprises *w Exp 06/17/202 0.0 $12k 24k 0.50
Gee Group (JOB) 0.0 $9.0k 15k 0.60
Avenue Therapeutics Com New 0.0 $9.0k 10k 0.90
Clarus Therapeutics Hldngs I *w Exp 08/11/202 (CRXWQ) 0.0 $9.0k 33k 0.28
Clever Leaves Holdings *w Exp 12/18/202 (CLVRW) 0.0 $9.0k 19k 0.48
Shapeways Holdings *w Exp 99/99/999 (SHPSQ) 0.0 $8.0k 15k 0.55
Lixte Biotechnology Hldgs In *w Exp 01/01/202 (LIXTW) 0.0 $8.0k 18k 0.45
Abeona Therapeutics 0.0 $8.0k 23k 0.34
Imac Hldgs *w Exp 02/12/202 0.0 $6.0k 24k 0.25
Entera Bio *w Exp 07/02/202 0.0 $4.0k 14k 0.28
G Med Innovations Hldgs *w Exp 06/30/202 0.0 $4.0k 13k 0.31