Warberg Asset Management

Warberg Asset Management as of Sept. 30, 2023

Portfolio Holdings for Warberg Asset Management

Warberg Asset Management holds 244 positions in its portfolio as reported in the September 2023 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Spdr S&p 500 Etf Tr Put Put Option 28.9 $143M 335k 427.48
Occidental Pete Corp *w Exp 08/03/202 (OXY.WS) 9.1 $45M 1.0M 43.00
On Semiconductor Corp Note 1.625%10/1 (Principal) 8.9 $44M 9.8M 4.49
KBR Note 2.500%11/0 (Principal) 7.5 $37M 16M 2.36
Palo Alto Networks Note 0.375% 6/0 (Principal) 2.5 $13M 5.4M 2.36
Eqt Corp Note 1.750% 5/0 (Principal) 2.5 $13M 4.5M 2.78
Vmware Cl A Com 2.3 $12M 70k 166.48
RH Note 9/1 (Principal) 1.9 $9.6M 7.3M 1.32
Pioneer Nat Res Note 0.250% 5/1 (Principal) 1.9 $9.3M 3.8M 2.47
Altair Engr Note 0.250% 6/0 (Principal) 1.8 $9.1M 6.7M 1.35
Conmed Corp Note 2.625% 2/0 (Principal) 1.8 $8.7M 7.5M 1.16
Invesco Qqq Tr Put Put Option 1.7 $8.2M 23k 358.27
Interdigital Note 2.000% 6/0 (Principal) 1.3 $6.6M 6.2M 1.07
Veradigm Note 0.875% 1/0 (Principal) 1.3 $6.2M 5.5M 1.13
Booking Holdings Note 0.750% 5/0 (Principal) 1.2 $5.9M 3.5M 1.67
Etsy Note 0.125%10/0 (Principal) 1.1 $5.4M 5.3M 1.02
Ati Note 3.500% 6/1 (Principal) 1.1 $5.4M 2.0M 2.69
Parsons Corp Del Note 0.250% 8/1 (Principal) 1.1 $5.2M 4.1M 1.27
Spdr S&p 500 Etf Tr Tr Unit (SPY) 1.0 $5.1M 12k 427.39
Repligen Corp Note 0.375% 7/1 (Principal) 1.0 $4.9M 3.4M 1.43
Apple Put Put Option 1.0 $4.8M 28k 171.21
Hubspot Note 0.375% 6/0 (Principal) 0.9 $4.6M 2.6M 1.78
Box Note 1/1 (Principal) 0.8 $4.1M 3.8M 1.08
Sea Note 1.000%12/0 (Principal) 0.8 $3.9M 3.5M 1.11
Akamai Technologies Note 0.125% 5/0 (Principal) 0.8 $3.9M 3.3M 1.18
Workiva Note 1.125% 8/1 (Principal) 0.8 $3.8M 2.8M 1.38
Hertz Global Hldgs *w Exp 06/30/205 (HTZWW) 0.8 $3.8M 613k 6.12
Progress Software Corp Note 1.000% 4/1 (Principal) 0.7 $3.2M 3.1M 1.03
Microchip Technology Note 1.625% 2/1 (Principal) 0.6 $2.9M 1.3M 2.21
Middleby Corp Note 1.000% 9/0 (Principal) 0.6 $2.7M 2.4M 1.12
Nice Sys Note 1.250% 1/1 (Principal) 0.5 $2.5M 1.1M 2.31
Ishares Tr Put Put Option 0.4 $2.2M 25k 88.69
Ford Mtr Co Del Note 3/1 (Principal) 0.4 $2.1M 2.1M 0.99
Enphase Energy Note 0.250% 3/0 (Principal) 0.4 $2.1M 1.3M 1.57
Noble Corp W Exp 02/04/202 (NE.WS) 0.4 $1.9M 60k 31.84
Neurocrine Biosciences Note 2.250% 5/1 (Principal) 0.4 $1.9M 1.3M 1.48
Nvidia Corporation Put Put Option 0.4 $1.7M 4.0k 434.99
Chesapeake Energy Corp *w Exp 02/09/202 (EXEEL) 0.3 $1.7M 25k 69.64
Dollar Gen Corp Call Call Option 0.3 $1.7M 16k 105.80
Zscaler Note 0.125% 7/0 (Principal) 0.3 $1.7M 1.4M 1.20
Moderna Put Put Option 0.3 $1.4M 14k 103.29
Vaneck Etf Trust Call Call Option 0.3 $1.4M 52k 26.91
Noble Corp W Exp 02/04/202 (NE.WS.A) 0.3 $1.4M 49k 28.00
Fisker Put Put Option 0.3 $1.3M 204k 6.42
Surgepays *w Exp 10/22/202 (SURGW) 0.3 $1.3M 1.2M 1.11
Salesforce Put Put Option 0.2 $1.2M 6.0k 202.78
Ishares Tr 20 Yr Tr Bd Etf (TLT) 0.2 $1.1M 13k 88.71
Apple (AAPL) 0.2 $942k 5.5k 171.21
Ford Mtr Co Del Call Call Option 0.2 $932k 75k 12.42
Spdr Ser Tr Put Put Option 0.2 $919k 22k 41.77
Sarepta Therapeutics DBCV 1.500%11/1 (Principal) 0.2 $912k 517k 1.76
Bank Hawaii Corp Put Put Option 0.2 $894k 18k 49.69
Epr Pptys PFD C CV 5.75% (EPR.PC) 0.2 $874k 46k 18.82
Bloomin Brands Note 5.000% 5/0 (Principal) 0.2 $870k 393k 2.21
New England Rlty Assoc Ltd P Depositry Rcpt (NEN) 0.2 $829k 12k 68.21
Monterey Cap Acquisition Cor Class A Com (MCAC) 0.2 $799k 75k 10.64
Atlantic Coastal Acquistn Class A Com 0.2 $798k 76k 10.45
Chesapeake Energy Corp *w Exp 02/09/202 (EXEEW) 0.2 $784k 10k 77.30
Rivian Automotive Call Call Option 0.2 $777k 32k 24.28
Excelfin Acquisition Corp Com Cl A (XFIN) 0.2 $773k 73k 10.64
Hnr Acquisition Corp (EONR) 0.2 $760k 70k 10.84
Western Alliance Bancorp Put Put Option 0.1 $726k 16k 45.97
Atlantic Coastal Aqstn Corp Class A Com (ACAB) 0.1 $723k 68k 10.58
Broad Capital Acquisition (BRAC) 0.1 $716k 65k 11.00
Ishares Silver Tr Call Call Option 0.1 $712k 35k 20.34
99 Acquisition Group Unit 99/99/9999 0.1 $708k 68k 10.36
Oak Woods Acquisition Corp Cl A (OAKU) 0.1 $680k 65k 10.46
Acri Capital Acquisition Cor Com Cl A 0.1 $604k 55k 10.96
Ishares Tr Put Put Option 0.1 $559k 4.0k 139.70
Rbc Bearings 5% Cnv Pfd Sr A (RBCP) 0.1 $552k 5.0k 110.45
Global Star Acquisition Class A Com 0.1 $517k 49k 10.64
Php Ventures Acquisition Cor Class A Com 0.1 $500k 46k 10.94
Siriuspoint (SPNT) 0.1 $496k 49k 10.17
Siriuspoint Put Put Option 0.1 $495k 49k 10.17
Composecure *w Exp 12/27/202 (CMPOW) 0.1 $481k 741k 0.65
Keen Vision Acquisition Corp SHS (KVAC) 0.1 $468k 46k 10.17
Nvidia Corporation Call Call Option 0.1 $435k 1.0k 434.99
Qomolangma Acquisition Corp 0.1 $402k 38k 10.62
Everest Consolidator Acq Cor Cl A Com 0.1 $401k 37k 10.82
Barclays Bank Call Call Option 0.1 $396k 17k 23.32
Zalatoris Acquisition Corp Com Cl A 0.1 $386k 37k 10.54
Esh Acquisition Corp (ESHA) 0.1 $381k 38k 10.12
Ford Mtr Co Del Put Put Option 0.1 $373k 30k 12.42
Datadog Note 0.125% 6/1 (Principal) 0.1 $363k 308k 1.18
Chesapeake Energy Corp *w Exp 02/09/202 (EXEEZ) 0.1 $348k 4.7k 73.41
Aquaron Acquisition Corp Common Stock (AQUC) 0.1 $341k 32k 10.57
Inception Growth Acqustn Common Stock (IGTA) 0.1 $323k 30k 10.62
Moderna (MRNA) 0.1 $310k 3.0k 103.31
Target Hospitality Corp *w Exp 03/15/202 0.1 $308k 60k 5.11
Redwoods Acquisition Corp (RWOD) 0.1 $304k 29k 10.68
Cetus Cap Acquisition Corp Class A Com (CETU) 0.1 $284k 27k 10.46
Alpha Star Acquisition Corp Ordinary Shares (ALSAF) 0.1 $273k 25k 10.97
Pono Cap Three Ord Shs Cl A 0.1 $267k 25k 10.55
Ap Acquisition Corp Cl A Ord Shs (APCA) 0.1 $253k 23k 10.98
Trailblazer Merger Corp I Cl A (TBMC) 0.0 $236k 23k 10.33
United Sts Nat Gas Call Call Option 0.0 $232k 34k 6.83
Cantaloupe Call Call Option 0.0 $218k 35k 6.25
Direct Digital Holdings *w Exp 02/15/202 0.0 $217k 180k 1.20
Spdr Ser Tr S&p Regl Bkg (KRE) 0.0 $209k 5.0k 41.76
Renew Energy Global *w Exp 08/21/202 (RNWWW) 0.0 $209k 278k 0.75
Goldenstone Acq Crp; Tnt Acq Dt: 12/21/2023; Cash: $10.15 (GDST) 0.0 $205k 19k 10.72
On Semiconductor Corp Note 5/0 (Principal) 0.0 $200k 111k 1.80
Southwestern Energy Call Call Option 0.0 $194k 30k 6.45
Rf Acquisition Corp Class A Com 0.0 $192k 18k 10.65
Revelstone Capital Acqstn Class A Com 0.0 $191k 18k 10.63
Vision Sensing Acquisition C Class A Com (VSAC) 0.0 $190k 17k 10.91
Papaya Grwt Opportunity Corp Class A Com (PPYA) 0.0 $164k 15k 10.71
Four Leaf Acquisition Corp Com Cl A (FORL) 0.0 $159k 15k 10.49
Cantaloupe Put Put Option 0.0 $154k 25k 6.25
Bukit Jalil Gbl Acquisition Ord Shs 0.0 $142k 14k 10.33
Kwesst Micro Systems Com New 0.0 $140k 90k 1.55
Stratasys Put Put Option 0.0 $136k 10k 13.61
Neovo W Exp 04/01/202 (NEOVW) 0.0 $131k 208k 0.63
Amprius Technologies W Exp 09/14/202 (AMPX.WS) 0.0 $130k 439k 0.30
Livent Corp Note 4.125% 7/1 (Principal) 0.0 $119k 55k 2.17
Fisker Cl A Com Stk (FSRNQ) 0.0 $116k 18k 6.45
Israel Acquisitions Corp Class A Ord (ISRLF) 0.0 $115k 11k 10.55
Akamai Technologies Note 0.375% 9/0 (Principal) 0.0 $111k 106k 1.04
Bowen Acquisition Corp SHS (BOWN) 0.0 $102k 10k 10.20
Podcastone (PODC) 0.0 $81k 42k 1.91
Direct Digital Holdings Class A Com (DRCT) 0.0 $77k 30k 2.56
Petvivo Hldgs *w Exp 08/13/202 (PETVW) 0.0 $74k 225k 0.33
Joby Aviation *w Exp 08/10/202 (JOBY.WS) 0.0 $72k 58k 1.24
Optimumbank Holdings (OPHC) 0.0 $65k 21k 3.18
Talkspace *w Exp 06/21/202 (TALKW) 0.0 $64k 534k 0.12
Apptech Pmts Corp *w Exp 12/17/202 (APCXW) 0.0 $61k 83k 0.74
Pyxis Tankers *w Exp 09/15/202 (PXSAW) 0.0 $58k 57k 1.02
Azitra 0.0 $53k 35k 1.50
Alliance Entertainment Holdi Com Class A (AENT) 0.0 $52k 47k 1.11
Fg Financial Group 0.0 $52k 37k 1.40
Sharps Technology W Exp 04/13/202 (STSSW) 0.0 $52k 493k 0.11
Tingo Group Put Put Option 0.0 $51k 50k 1.02
Kwesst Micro Systems W Exp 12/09/202 (DFSCW) 0.0 $46k 193k 0.24
Zivo Bioscience *w Exp 05/14/202 (ZIVOW) 0.0 $45k 101k 0.45
Mirion Technologies *w Exp 10/20/202 0.0 $41k 30k 1.35
Bullfrog Ai Hldgs W Exp 01/18/202 (BFRGW) 0.0 $38k 67k 0.57
Ascent Solar Technologies In Com New 0.0 $36k 20k 1.79
Nextplat Corp *w Exp 06/02/202 (NXPLW) 0.0 $36k 62k 0.58
Clearmind Medicine Com New 0.0 $35k 220k 0.16
Foremost Lithium Res & Tech W Exp 08/24/202 0.0 $33k 56k 0.59
Biosig Technologies Com New 0.0 $31k 64k 0.49
Strong Global Entmt Cl A Com Voting 0.0 $31k 15k 2.10
Grove 0.0 $30k 17k 1.73
Tenon Medical W Exp 06/16/202 (TNONW) 0.0 $27k 664k 0.04
Saverone 2014 W Exp 05/04/202 (SVREW) 0.0 $27k 199k 0.14
Block Note 0.125% 3/0 (Principal) 0.0 $26k 28k 0.93
Onfolio Holdings W Exp 01/02/202 (ONFOW) 0.0 $26k 194k 0.13
Edible Garden Com New 0.0 $26k 35k 0.74
Vishay Intertechnology Note 2.250% 6/1 (Principal) 0.0 $24k 24k 1.00
Branchout Food (BOF) 0.0 $22k 10k 2.10
Bt Brands *w Exp 11/12/202 (BTBDW) 0.0 $21k 137k 0.15
Terran Orbital Corporation (LLAP) 0.0 $20k 24k 0.83
Fgi Industries *w Exp 01/21/202 (FGIWW) 0.0 $20k 121k 0.17
Esperion Therapeutics Inc Ne Call Call Option 0.0 $20k 20k 0.98
Worksport *w Exp 06/01/202 (WKSPW) 0.0 $20k 78k 0.25
Apollomics W Exp 04/01/202 (APLMW) 0.0 $20k 390k 0.05
P3 Health Partners Com Cl A 0.0 $18k 12k 1.47
Cineverse Corp Com Cl A (CNVS) 0.0 $18k 15k 1.17
Navidea Biopharmaceuticals I Com New (NAVBQ) 0.0 $18k 195k 0.09
Splash Beverage Group *w Exp 06/15/202 (SBEVW) 0.0 $17k 171k 0.10
Asp Isotopes (ASPI) 0.0 $16k 17k 0.95
Know Labs Com New 0.0 $15k 60k 0.25
Wearable Devices W Exp 09/14/202 0.0 $15k 126k 0.12
Nxu Cl A 0.0 $14k 70k 0.20
Yield10 Bioscience 0.0 $13k 41k 0.33
Mobilicom W Exp 08/31/202 (MOBBW) 0.0 $13k 90k 0.14
Esperion Therapeutics (ESPR) 0.0 $13k 13k 0.98
Inuvo Com New 0.0 $12k 55k 0.21
Heartbeam *w Exp 10/31/202 (BEATW) 0.0 $12k 58k 0.20
Neurosense Therapeutics *w Exp 11/09/202 (NRSNW) 0.0 $11k 76k 0.15
The Lion Electric Company W Exp 12/16/202 (LEGWQ) 0.0 $11k 21k 0.52
Iveda Solutions W Exp 04/01/202 (IVDAW) 0.0 $11k 49k 0.22
Stran & Company *w Exp 11/01/202 (SWAGW) 0.0 $11k 182k 0.06
60 Degrees Pharmaceuticals I W Exp 07/12/202 (SXTPW) 0.0 $10k 30k 0.35
Pagaya Technologies W Exp 09/01/202 (PGYWW) 0.0 $10k 30k 0.34
Vbi Vaccines Inc Cda Com New (VBIVQ) 0.0 $10k 15k 0.67
Ainos W Exp 07/29/202 (AIMDW) 0.0 $9.9k 30k 0.33
Inception Growth Acqustn *w Exp 10/15/202 (IGTAW) 0.0 $9.0k 90k 0.10
Bio Path Holdings 0.0 $8.9k 24k 0.37
Zura Bio W Exp 03/20/202 (ZURAW) 0.0 $8.8k 26k 0.34
Maris Tech *w Exp 02/04/202 (MTEKW) 0.0 $8.8k 200k 0.04
Vicarious Surgical *w Exp 08/05/202 (RBOTW) 0.0 $8.6k 112k 0.08
Netcapital 0.0 $8.2k 20k 0.41
Cf Acquisition Corp Viii *w Exp 03/31/202 0.0 $8.1k 32k 0.25
Aeon Biopharma W Exp 07/21/202 0.0 $8.0k 54k 0.15
Glucotrack Com New 0.0 $7.9k 30k 0.26
Cea Industries *w Exp 02/11/202 (BNCWW) 0.0 $7.6k 207k 0.04
Netcapital W Exp 07/12/202 (NCPLW) 0.0 $7.4k 145k 0.05
Bridger Aerospace Grp Hldgs W Exp 01/24/202 (BAERW) 0.0 $7.3k 25k 0.29
Hillstream Biopharma 0.0 $7.2k 36k 0.20
Whole Earth Brands *w Exp 06/25/202 (FREEW) 0.0 $7.1k 59k 0.12
Comera Life Sciences Hldgs I W Exp 03/15/202 (CMRAW) 0.0 $6.5k 300k 0.02
Aurora Innovation *w Exp 11/03/202 (AUROW) 0.0 $6.4k 20k 0.32
Nogin Com New (NOGNQ) 0.0 $6.1k 12k 0.53
Medicenna Therapeutics Corp. (MDNAF) 0.0 $5.9k 20k 0.29
Palisade Bio 0.0 $5.8k 10k 0.58
Soligenix Com New 0.0 $5.6k 10k 0.56
Protagenic Therapeutics *w Exp 04/13/202 (PTIXW) 0.0 $5.3k 177k 0.03
Transcode Therapeutics Com New 0.0 $5.0k 10k 0.50
Semantix W Exp 08/03/202 (STWWF) 0.0 $4.8k 102k 0.05
Arogo Capital Acquisition *w Exp 03/23/202 (AOGOW) 0.0 $4.5k 90k 0.05
Seastar Medical Holding Corp W Exp 10/28/202 (ICUCW) 0.0 $4.5k 317k 0.01
Nexalin Technology W Exp 09/15/202 0.0 $4.4k 177k 0.03
Cerberus Cyber Sentinel Corp 0.0 $4.4k 31k 0.14
Seastar Medical Holding Corp Common Stock 0.0 $4.3k 17k 0.26
Energem Corp *w Exp 11/15/202 0.0 $4.3k 90k 0.05
Beneficient W Exp 06/07/202 (BENFW) 0.0 $4.2k 110k 0.04
Kulr Technology Group 0.0 $4.1k 12k 0.36
Cingulate *w Exp 12/03/202 (CINGW) 0.0 $3.9k 24k 0.17
Pasithea Therapeutics Corp *w Exp 08/12/202 (KTTAW) 0.0 $3.8k 290k 0.01
Infint Acquisition Corp *w Exp 99/99/999 0.0 $3.4k 90k 0.04
Aclarion W Exp 04/21/202 (ACONW) 0.0 $3.2k 43k 0.07
Nexgel *w Exp 12/01/202 (NXGLW) 0.0 $3.1k 10k 0.30
Selina Hospitality W Exp 10/27/202 (SLNWF) 0.0 $3.0k 217k 0.01
Fat Projects Acquisition Cor *w Exp 08/31/202 0.0 $2.9k 85k 0.03
Northview Acquisition Corp *w Exp 08/02/202 0.0 $2.9k 78k 0.04
Lixte Biotechnology Hldgs In *w Exp 01/01/202 (LIXTW) 0.0 $2.6k 41k 0.06
Dune Acquisition Corp *w Exp 10/29/202 0.0 $2.5k 36k 0.07
Hub Cyber Security Ord Shs 0.0 $2.3k 10k 0.23
Banyan Acquisition Corporati *w Exp 09/30/202 (PNSWQ) 0.0 $2.2k 12k 0.18
Microcloud Hologram W Exp 01/31/202 (HOLOW) 0.0 $2.2k 55k 0.04
Bannix Acquisition Corp *w Exp 07/31/202 (BNIXW) 0.0 $2.1k 86k 0.03
Bioaffinity Technologies W Exp 09/07/202 (BIAFW) 0.0 $2.1k 23k 0.09
Accretion Acquisition Corp *w Exp 03/01/202 0.0 $2.0k 87k 0.02
Rail Vision *w Exp 03/27/202 (RVSNW) 0.0 $1.8k 50k 0.04
Canna Global Acquisition Cor *w Exp 11/30/202 (CNGLW) 0.0 $1.6k 90k 0.02
Kairous Acquisition Corp *w Exp 09/15/202 (KACWF) 0.0 $1.6k 79k 0.02
Ocean Biomedical W Exp 02/14/202 (OCEAW) 0.0 $1.5k 10k 0.15
Seqll *w Exp 08/31/202 (SQLLW) 0.0 $1.4k 56k 0.03
Custom Truck One Source *w Exp 01/01/202 (CTOSW) 0.0 $1.2k 15k 0.08
Anghami *w Exp 02/03/202 (ANGHW) 0.0 $1.2k 40k 0.03
Keen Vision Acquisition Corp W Exp 03/15/202 (KVACW) 0.0 $1.1k 21k 0.06
Hub Cyber Security W Exp 02/27/202 (HUBCW) 0.0 $1.1k 100k 0.01
Buzzfeed *w Exp 12/03/202 (BZFDW) 0.0 $979.011000 20k 0.05
Spree Acquisition Corp 1 *w Exp 12/22/202 (SACWF) 0.0 $884.100000 24k 0.04
Edible Garden W Exp 04/18/202 (EDBLW) 0.0 $766.735200 30k 0.03
Smx Sec Matters W Exp 03/07/202 (SMXWW) 0.0 $607.175400 53k 0.01
Agriforce Growing Systems Lt *w Exp 02/01/202 (AGRIW) 0.0 $574.692100 29k 0.02
Harbor Custom Development In *w Exp 10/04/202 (HCDZQ) 0.0 $544.500000 55k 0.01
Dermata Therapeutics *w Exp 08/13/202 (DRMAW) 0.0 $525.000000 30k 0.02
Feutune Light Acquisition W Exp 06/01/202 (FLFVW) 0.0 $467.910000 21k 0.02
Alpha Star Acquisition Corp *w Exp 12/13/202 (ALSWF) 0.0 $400.000000 40k 0.01
Embrace Change Acquisitn Cor W Exp 10/25/202 (EMCWF) 0.0 $312.500000 13k 0.03
Mobiquity Technologies *w Exp 12/03/202 (MOBQW) 0.0 $122.310900 33k 0.00