13F-HR filed by Warberg Asset Management LLC
Warberg Asset Management LLC filed this 13F-HR for the quarter ended 2020-12-31, filed 2021-02-16, with 157 holding rows worth $407,588,000.
- Accession
- 0001567619-21-004081
- Filer
- CIK 1597506
- Filed
- 2021-02-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2020
A holdings report, 157 entries on the cover page, a total value of $407,588,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $407,588,000 with VALUE read as thousands by filing date, 13F file number 028-20991. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| SPY | 78462F103 | SHS | 144,000 | $53,839,000 | thousands by filing date | put |
| TESLA INC | 88160RAD3 | NOTE 2.375% 3/1 | 3,715,000 | $39,688,000 | thousands by filing date | principal |
| HUBSPOT INC | 443573AB6 | NOTE 0.250% 6/0 | 6,244,000 | $26,054,000 | thousands by filing date | principal |
| FIVE9 INC | 338307AB7 | NOTE 0.125% 5/0 | 5,111,000 | $21,495,000 | thousands by filing date | principal |
| TESLA INC | 88160RAG6 | NOTE 2.000% 5/1 | 1,566,000 | $17,695,000 | thousands by filing date | principal |
| INPHI CORP | 45772FAC1 | NOTE 0.750% 9/0 | 5,084,000 | $14,432,000 | thousands by filing date | principal |
| INSULET CORP | 45784PAH4 | NOTE 1.375%11/1 | 4,684,000 | $12,832,000 | thousands by filing date | principal |
| TERADYNE INC | 880770AG7 | NOTE | 3,355,000 | $12,712,000 | thousands by filing date | principal |
| SEA LTD | 81141RAD2 | NOTE 1.000%12/0 | 3,000,000 | $11,912,000 | thousands by filing date | principal |
| MICROCHIP TECHNOLOGY INC. | 595017AD6 | NOTE 1.625% 2/1 | 5,615,000 | $11,857,000 | thousands by filing date | principal |
| NICE SYS INC | 65366HAB9 | BOND | 3,495,000 | $11,855,000 | thousands by filing date | principal |
| BLOCK INC | 852234AD5 | NOTE 0.500% 5/1 | 3,630,000 | $10,201,000 | thousands by filing date | principal |
| MERCADOLIBRE INC | 58733RAD4 | NOTE 2.000% 8/1 | 2,000,000 | $7,608,000 | thousands by filing date | principal |
| HANNON ARMSTRONG SUST INFR C | 41068XAB6 | NOTE 4.125% 9/0 | 3,199,000 | $7,495,000 | thousands by filing date | principal |
| COUPA SOFTWARE INC | 22266LAC0 | NOTE 0.125% 6/1 | 3,445,000 | $7,490,000 | thousands by filing date | principal |
| ZILLOW GROUP INC | 98954MAE1 | NOTE 0.750% 9/0 | 2,500,000 | $7,484,000 | thousands by filing date | principal |
| WAYFAIR INC | 94419LAD3 | NOTE 1.125%11/0 | 3,608,000 | $7,244,000 | thousands by filing date | principal |
| Tesla Motors, Inc | 88160R101 | COM | 10,000 | $7,057,000 | thousands by filing date | put |
| RH | 74967XAA1 | BOND | 2,937,000 | $6,892,000 | thousands by filing date | principal |
| DEXCOM INC | 252131AH0 | NOTE 0.750%12/0 | 2,504,000 | $5,703,000 | thousands by filing date | principal |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 3,807,000 | $5,574,000 | thousands by filing date | principal |
| CHEGG INC | 163092AB5 | NOTE 0.250% 5/1 | 1,512,000 | $5,053,000 | thousands by filing date | principal |
| JPMorgan Chase & Co | 46625H100 | COM | 35,000 | $4,447,000 | thousands by filing date | call |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 173,300 | $3,754,000 | thousands by filing date | put |
| Tesla Motors, Inc | 88160R101 | COM | 5,000 | $3,528,000 | thousands by filing date | call |
| GSV CAP CORP | 36191JAC5 | NOTE 4.750% 3/2 | 2,400,000 | $3,389,000 | thousands by filing date | principal |
| WIX COM LTD | 92940WAB5 | NOTE 7/0 | 1,790,000 | $3,306,000 | thousands by filing date | principal |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 20,000 | $3,155,000 | thousands by filing date | put |
| CHEGG INC | 163092AD1 | NOTE 0.125% 3/1 | 1,725,000 | $3,138,000 | thousands by filing date | principal |
| INVESCO QQQ TR | 46090E103 | COM | 10,000 | $3,137,000 | thousands by filing date | call |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 100,000 | $2,948,000 | thousands by filing date | put |
| INNOVATIVE INDL PPTYS INC COM | 45781V101 | REIT | 16,100 | $2,948,000 | thousands by filing date | put |
| iShares Russell 2000 ETF | 464287655 | SHS | 15,000 | $2,941,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 80,000 | $2,882,000 | thousands by filing date | call |
| BLINK CHARGING CO | 09354A100 | COM | 65,000 | $2,779,000 | thousands by filing date | put |
| NEXTERA ENERGY INC | 65339F796 | COM | 44,998 | $2,657,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 122,000 | $2,643,000 | thousands by filing date | |
| MONGODB INC | 60937PAB2 | NOTE | 468,000 | $2,460,000 | thousands by filing date | principal |
| NABORS INDUSTRIES LTD | G6359F137 | SHS | 40,000 | $2,329,000 | thousands by filing date | call |
| INVESCO QQQ TR | 46090E103 | COM | 7,000 | $2,196,000 | thousands by filing date | put |
| META PLATFORMS INC CL A | 30303M102 | COM | 7,000 | $1,912,000 | thousands by filing date | put |
| GROWGENERATION CORP | 39986L109 | COM | 45,000 | $1,810,000 | thousands by filing date | put |
| iShares Silver Trust | 46428Q109 | COM | 71,400 | $1,754,000 | thousands by filing date | call |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 56,600 | $1,439,000 | thousands by filing date | put |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 56,500 | $1,437,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 10,000 | $1,327,000 | thousands by filing date | put |
| Apple Inc | 037833100 | COM | 10,000 | $1,327,000 | thousands by filing date | call |
| BARCLAYS BANK PLC | 06746P621 | IPTH SR B S&P | 75,000 | $1,259,000 | thousands by filing date | call |
| SURO CAP CORP | 86887Q109 | COM NEW | 95,700 | $1,253,000 | thousands by filing date | put |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 73,200 | $1,132,000 | thousands by filing date | put |
| PERSHING SQUARE TONTINE HLDG COM | 71531R109 | CL A | 39,900 | $1,106,000 | thousands by filing date | |
| RAPID7 INC | 753422AB0 | NOTE | 505,000 | $1,101,000 | thousands by filing date | principal |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 66,300 | $1,026,000 | thousands by filing date | |
| PERSHING SQUARE TONTINE HLDG COM | 71531R109 | CL A | 36,700 | $1,017,000 | thousands by filing date | put |
| NUANCE COMMUNICATIONS INC | 67020YAG5 | DEBT 1.500%11/0 | 2,781,000 | $986,000 | thousands by filing date | principal |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 880,000 | $939,000 | thousands by filing date | principal |
| DIREXION SHARES ETF TRUST | 25460G849 | DAILY 20 YR TREA | 15,000 | $810,000 | thousands by filing date | call |
| INFRA AND ENERGY ALTRNTIVE I | 45686J112 | WTS | 679,331 | $804,000 | thousands by filing date | |
| ETSY INC | 29786AAC0 | NOTE 3/0 | 1,656,000 | $744,000 | thousands by filing date | principal |
| ARBOR RLTY TR INC | 038923AF5 | NOTE 5.250% 7/0 | 1,000,000 | $639,000 | thousands by filing date | principal |
| NIO INC SPON ADS | 62914V106 | ADR | 13,000 | $634,000 | thousands by filing date | put |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 427,000 | $625,000 | thousands by filing date | principal |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 5,000 | $622,000 | thousands by filing date | put |
| HOSTESS BRANDS INC | 44109J114 | WTS | 1,093,437 | $610,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435AD7 | NOTE 0.750% 7/0 | 428,000 | $605,000 | thousands by filing date | principal |
| GROWGENERATION CORP | 39986L109 | COM | 15,000 | $603,000 | thousands by filing date | |
| SPIRIT AIRLS INC | 848577102 | COM | 24,000 | $587,000 | thousands by filing date | call |
| NIKOLA CORP | 654110105 | COM | 36,000 | $549,000 | thousands by filing date | put |
| WORKDAY INC | 98138HAF8 | NOTE 0.250%10/0 | 325,000 | $544,000 | thousands by filing date | principal |
| GFL ENVIRONMENTAL INC | 36168Q120 | CONV | 7,638 | $536,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 15,000 | $518,000 | thousands by filing date | call |
| VELODYNE LIDAR INC | 92259F101 | COM | 19,900 | $454,000 | thousands by filing date | put |
| UTZ BRANDS INC COM CL A | 918090101 | Stock | 19,000 | $419,000 | thousands by filing date | put |
| SAILPOINT TECHNOLOGIES HLDGS | 78781PAB1 | NOTE | 200,000 | $389,000 | thousands by filing date | principal |
| ALTA EQUIPMENT GROUP INC | 02128L114 | *W EXP 02/14/202 | 319,800 | $356,000 | thousands by filing date | |
| VELODYNE LIDAR INC | 92259F101 | COM | 14,375 | $328,000 | thousands by filing date | |
| Gaotu Techedu Inc | 36257Y109 | COM | 6,000 | $310,000 | thousands by filing date | put |
| TANGER INC | 875465106 | COM | 29,000 | $289,000 | thousands by filing date | call |
| RINGCENTRAL INC | 76680RAD9 | NOTE 3/1 | 56,000 | $260,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06746P621 | IPTH SR B S&P | 15,000 | $252,000 | thousands by filing date | |
| INTL GNRL INSURANCE HLDNGS L | G4809J114 | WTS | 630,521 | $249,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 979 | $245,000 | thousands by filing date | |
| PROPERTY SOLUTIONS ACQUISITI | 74348Q108 | COM | 24,075 | $241,000 | thousands by filing date | |
| NEWHOLD INVESTMENT CORP | 651448102 | COM CL A | 23,900 | $239,000 | thousands by filing date | |
| WILLSCOT HLDGS CORP | 971378104 | COM CL A | 10,000 | $232,000 | thousands by filing date | put |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 4,586 | $230,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J114 | *W EXP 04/13/202 | 163,536 | $219,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 10,000 | $211,000 | thousands by filing date | call |
| PINDUODUO INC | 722304AB8 | NOTE 10/0 | 50,000 | $208,000 | thousands by filing date | principal |
| TATTOOED CHEF INC | 87663X102 | COM | 9,000 | $206,000 | thousands by filing date | put |
| VISTAS MEDIA ACQUISITION CO | 92840T107 | COM CL A | 20,000 | $202,000 | thousands by filing date | |
| MALACCA STRAITS ACQUISITION | G5859B117 | COM CL A | 19,400 | $192,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 20,000 | $176,000 | thousands by filing date | call |
| RIOT PLATFORMS INC | 767292105 | COM | 10,000 | $170,000 | thousands by filing date | put |
| FISKER INC | 33813J106 | CL A COM STK | 11,000 | $161,000 | thousands by filing date | call |
| CHARDAN HEALTHCR ACQSTN 2 CO | 15957T107 | COM | 15,577 | $159,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 15,700 | $152,000 | thousands by filing date | call |
| TATTOOED CHEF INC | 87663X110 | *W EXP 10/15/202 | 40,112 | $151,000 | thousands by filing date | |
| INSEEGO CORP | 45782BAD6 | NOTE 3.250% 5/0 | 110,000 | $149,000 | thousands by filing date | principal |
| FISKER INC | 33813J114 | *W EXP 12/01/202 | 116,000 | $148,000 | thousands by filing date | |
| VPC IMPACT ACQUISITION HLDNG | G9441E100 | SHS CL A | 14,400 | $145,000 | thousands by filing date | |
| FOXO TECHNOLOGIES INC UNIT | 24803C201 | Stock | 14,000 | $144,000 | thousands by filing date | |
| INDUSTRIAL TECH ACQ CORP; TNT ACQ DT: 12/9/2021; CASH: $10.10 | 456357102 | COM CL A | 14,000 | $142,000 | thousands by filing date | |
| MONTES ARCHIMEDES ACQUISITIO | 612657106 | COM CL A | 13,900 | $141,000 | thousands by filing date | |
| ALPHA HEALTHCARE ACQUISTN CO | 020751103 | CL A | 12,999 | $132,000 | thousands by filing date | |
| IG ACQUISITION CORP | 449534106 | COM CL A | 12,800 | $130,000 | thousands by filing date | |
| SPARTACUS ACQ CORP; TNT ACQ DT: 7/15/2022; CASH: $10.15 | 84677L109 | CL A | 12,600 | $127,000 | thousands by filing date | |
| ATLANTIC AVE ACQUISITION COR | 04906P101 | CMN | 12,350 | $124,000 | thousands by filing date | |
| OPTIMUMBANK HLDGS INC | 68401P403 | COM | 36,213 | $122,000 | thousands by filing date | |
| AEQUI ACQUISITION CORP | 00775W201 | UNIT 11/30/2027 | 11,777 | $119,000 | thousands by filing date | |
| NEW FRONTIER HEALTH CORP | G6461G114 | *W EXP 11/30/202 | 54,313 | $118,000 | thousands by filing date | |
| CO-DIAGNOSTICS INC | 189763105 | COM | 12,000 | $112,000 | thousands by filing date | put |
| PTK Acquisition Corp | 69375F108 | Common Stock | 11,000 | $112,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 108,750 | $107,000 | thousands by filing date | |
| MSP RECOVERY INC COM CL A | 53625R104 | Stock | 10,610 | $107,000 | thousands by filing date | |
| TAILWIND ACQUISITION CORP | 87403Q102 | COM CL A | 10,160 | $106,000 | thousands by filing date | |
| LANDCADIA HOLDINGS III INC | 51476H100 | COM CL A | 10,143 | $106,000 | thousands by filing date | |
| ZANITE ACQUISITION CORP | 98907K202 | un | 10,000 | $105,000 | thousands by filing date | |
| HYCROFT MINING HOLDING CORP | 44862P109 | COM | 13,282 | $104,000 | thousands by filing date | |
| ONCTERNAL THERAPEUTICS INC | 68236P107 | COM | 21,000 | $103,000 | thousands by filing date | call |
| DIGITAL MEDIA SOLUTIONS INC | 25401G114 | WTS | 126,637 | $98,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS CORP | 284849114 | W EXP 08/03/202 | 18,205 | $69,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 20,000 | $65,000 | thousands by filing date | call |
| BAUDAX BIO INC | 07160F107 | COM | 63,000 | $64,000 | thousands by filing date | call |
| SIERRA METALS INC | 82639W106 | COM | 18,000 | $60,000 | thousands by filing date | |
| GCM GROSVENOR INC | 36831E116 | W EXP 11/17/202 | 189,714 | $60,000 | thousands by filing date | |
| CBDMD INC | 12482W101 | COM | 20,000 | $59,000 | thousands by filing date | |
| HISTOGEN INC | 43358Y103 | COM | 74,000 | $56,000 | thousands by filing date | |
| DOCUSIGN INC | 256163AB2 | NOTE 0.500% 9/1 | 16,000 | $50,000 | thousands by filing date | principal |
| FAT BRANDS INC | 30258N121 | *W EXP 07/16/202 | 17,900 | $48,000 | thousands by filing date | |
| VERIFYME INC | 92346X115 | *W EXP 06/22/202 | 40,107 | $41,000 | thousands by filing date | |
| AMPCO-PITTSBURG CORP | 032037111 | *W EXP 08/01/202 | 92,900 | $40,000 | thousands by filing date | |
| OUTDOOR HOLDING CO | 00175J107 | COMMON STOCK | 10,000 | $33,000 | thousands by filing date | |
| Benitec Biopharma, Inc. | 08205P100 | common | 10,000 | $30,000 | thousands by filing date | |
| 9 METERS BIOPHARMA INC | 654405109 | COM | 31,888 | $27,000 | thousands by filing date | |
| RENOVARE ENVIRONMENTAL I | 09074B107 | COM | 24,000 | $27,000 | thousands by filing date | |
| CNS PHARMACEUTICALS INC | 18978H102 | COM | 14,000 | $25,000 | thousands by filing date | |
| MEDIGUS LTD SPON ADS NEW | 58471G300 | ADR | 13,000 | $25,000 | thousands by filing date | |
| ENTERA BIO LTD | M40527117 | *W EXP 06/27/202 | 288,725 | $25,000 | thousands by filing date | |
| IMAC HLDGS INC | 44967K112 | *W EXP 02/12/202 | 105,360 | $24,000 | thousands by filing date | |
| CHEER HLDG INC | G39973113 | *W EXP 02/13/202 | 280,000 | $23,000 | thousands by filing date | |
| PROPERTY SOLUTIONS ACQUISITI | 74348Q116 | *W EXP 03/20/202 | 21,740 | $23,000 | thousands by filing date | |
| CITIUS PHARMACEUTICALS INC | 17322U207 | COM | 20,000 | $20,000 | thousands by filing date | |
| DASEKE INC | 23753F115 | *W EXP 02/27/202 | 915,000 | $17,000 | thousands by filing date | |
| ENDRA LIFE SCIENCES INC COM NEW | 29273B104 | Stock | 20,374 | $15,000 | thousands by filing date | |
| VISTAS MEDIA ACQUISITION CO | 92840T115 | *W EXP 08/01/202 | 17,740 | $15,000 | thousands by filing date | |
| GEOVAX LABS INC | 373678119 | *W EXP 09/29/202 | 26,975 | $14,000 | thousands by filing date | |
| LIXTE BIOTECHNOLOGY HLDGS IN | 539319111 | *W EXP 11/30/202 | 13,001 | $12,000 | thousands by filing date | |
| CREATD INC | 225265115 | *W EXP 09/15/202 | 12,600 | $12,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 11,968 | $11,000 | thousands by filing date | principal |
| MEDIGUS LTD | 58471G128 | *W EXP 07/22/202 | 54,000 | $10,000 | thousands by filing date | |
| Clene Inc | 185634110 | CLENE INC -CW25 | 14,000 | $7,000 | thousands by filing date | |
| GLOBAL BLUE GROUP HOLDING AG | H33700115 | *W EXP 08/28/202 | 15,450 | $4,000 | thousands by filing date | |
| HYCROFT MINING HOLDING CORP | 44862P117 | *W EXP 05/29/202 | 73,155 | $4,000 | thousands by filing date | |
| ARTELO BIOSCIENCES INC | 04301G128 | *W EXP 06/20/202 | 16,403 | $4,000 | thousands by filing date | |
| PYXIS TANKERS INC | Y71726122 | *W EXP 10/13/202 | 21,828 | $3,000 | thousands by filing date | |
| BROADMARK RLTY CAP INC | 11135B118 | *W EXP 11/15/202 | 10,000 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001567619-21-004081 | this filing | 2021-02-16 | acceptance time not in the bulk data set |