13F-HR filed by Warberg Asset Management LLC
Warberg Asset Management LLC filed this 13F-HR for the quarter ended 2021-03-31, filed 2021-05-17, with 153 holding rows worth $301,046,000.
- Accession
- 0001567619-21-010291
- Filer
- CIK 1597506
- Filed
- 2021-05-17
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2021
A holdings report, 153 entries on the cover page, a total value of $301,046,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $301,046,000 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 | 155,000 | $61,431,000 | thousands by filing date | put |
| INSULET CORP | 45784PAH4 | NOTE 1.375%11/1 | 4,747,000 | $13,302,000 | thousands by filing date | principal |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 5,887,000 | $10,430,000 | thousands by filing date | principal |
| RH | 74967XAA1 | BOND | 3,354,000 | $10,344,000 | thousands by filing date | principal |
| WIX COM LTD | 92940WAB5 | NOTE 7/0 | 5,025,000 | $10,122,000 | thousands by filing date | principal |
| WAYFAIR INC | 94419LAD3 | NOTE 1.125%11/0 | 3,554,000 | $9,752,000 | thousands by filing date | principal |
| HANNON ARMSTRONG SUST INFR C | 41068XAB6 | NOTE 4.125% 9/0 | 4,105,000 | $8,458,000 | thousands by filing date | principal |
| MICRON TECHNOLOGY INC | 595112AX1 | NOTE 3.125% 5/0 | 840,000 | $7,397,000 | thousands by filing date | principal |
| BLOCK INC | 852234AD5 | NOTE 0.500% 5/1 | 2,532,000 | $7,395,000 | thousands by filing date | principal |
| ZILLOW GROUP INC | 98954MAE1 | NOTE 0.750% 9/0 | 2,450,000 | $7,309,000 | thousands by filing date | principal |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 4,415,000 | $6,661,000 | thousands by filing date | principal |
| DEXCOM INC | 252131AH0 | NOTE 0.750%12/0 | 2,873,000 | $6,354,000 | thousands by filing date | principal |
| COUPA SOFTWARE INC | 22266LAC0 | NOTE 0.125% 6/1 | 3,212,000 | $5,467,000 | thousands by filing date | principal |
| MERCADOLIBRE INC | 58733RAD4 | NOTE 2.000% 8/1 | 1,559,000 | $5,224,000 | thousands by filing date | principal |
| ETSY INC | 29786AAJ5 | NOTE 0.125%10/0 | 2,008,000 | $4,759,000 | thousands by filing date | principal |
| PALO ALTO NETWORKS INC | 697435AD7 | NOTE 0.750% 7/0 | 3,439,000 | $4,548,000 | thousands by filing date | principal |
| AMICUS THERAPEUTICS INC | 03152WAB5 | NOTE 3.000%12/1 | 2,800,000 | $4,520,000 | thousands by filing date | principal |
| BANDWIDTH INC | 05988JAB9 | NOTE 0.250% 3/0 | 2,900,000 | $4,430,000 | thousands by filing date | principal |
| PENN ENTERTAINMENT INC | 707569AU3 | NOTE 2.750% 5/1 | 965,000 | $4,359,000 | thousands by filing date | principal |
| RH | 74967XAD5 | CV | 1,500,000 | $4,240,000 | thousands by filing date | principal |
| MICROCHIP TECHNOLOGY INC. | 595017AH7 | NOTE 2.250% 2/1 | 1,830,000 | $4,203,000 | thousands by filing date | principal |
| INFRA AND ENERGY ALTRNTIVE I | 45686J112 | WTS | 1,089,676 | $3,698,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 26,000 | $3,522,000 | thousands by filing date | put |
| SOUTHWEST AIRLS CO | 844741BG2 | NOTE 1.250% 5/0 | 2,000,000 | $3,441,000 | thousands by filing date | principal |
| NUANCE COMMUNICATIONS INC | 67020YAN0 | NOTE 1.250% 4/0 | 1,468,000 | $3,347,000 | thousands by filing date | principal |
| Q2 HLDGS INC | 74736LAB5 | NOTE 0.750% 2/1 | 1,846,000 | $3,302,000 | thousands by filing date | principal |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 120,700 | $3,203,000 | thousands by filing date | put |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 119,600 | $3,174,000 | thousands by filing date | |
| WILLSCOT HLDGS CORP | 971378104 | COM CL A | 113,000 | $3,136,000 | thousands by filing date | put |
| Tesla Motors, Inc | 88160R101 | COM | 4,500 | $3,006,000 | thousands by filing date | put |
| CHEGG INC | 163092AD1 | NOTE 0.125% 3/1 | 1,725,000 | $2,999,000 | thousands by filing date | principal |
| NUANCE COMMUNICATIONS INC | 67020YAG5 | DEBT 1.500%11/0 | 1,373,000 | $2,915,000 | thousands by filing date | principal |
| INNOVATIVE INDL PPTYS INC COM | 45781V101 | REIT | 16,100 | $2,901,000 | thousands by filing date | put |
| HOSTESS BRANDS INC | 44109J114 | WTS | 1,689,821 | $2,450,000 | thousands by filing date | |
| KNOWLES CORP | 49926DAB5 | NOTE 3.250%11/0 | 2,000,000 | $2,398,000 | thousands by filing date | principal |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 70,000 | $2,384,000 | thousands by filing date | put |
| NEXTERA ENERGY INC | 65339F796 | COM | 40,261 | $2,318,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 40,000 | $2,233,000 | thousands by filing date | call |
| NUANCE COMMUNICATIONS INC | 67020YAK6 | DBCV 1.000%12/1 | 1,102,000 | $2,041,000 | thousands by filing date | principal |
| SPY | 78462F103 | SHS | 5,000 | $1,982,000 | thousands by filing date | call |
| MONGODB INC | 60937PAB2 | NOTE | 478,000 | $1,870,000 | thousands by filing date | principal |
| BLACKLINE INC | 09239BAB5 | NOTE 0.125% 8/0 | 1,175,000 | $1,863,000 | thousands by filing date | principal |
| ZYNGA INC | 98986TAB4 | NOTE 0.250% 6/0 | 1,325,000 | $1,809,000 | thousands by filing date | principal |
| META PLATFORMS INC CL A | 30303M102 | COM | 6,000 | $1,767,000 | thousands by filing date | put |
| KBR INC | 48242WAB2 | BOND | 1,100,000 | $1,736,000 | thousands by filing date | principal |
| HCI GROUP INC | 40416EAD5 | NOTE 4.250% 3/0 | 1,180,000 | $1,546,000 | thousands by filing date | principal |
| GCM GROSVENOR INC | 36831E116 | W EXP 11/17/202 | 1,251,093 | $1,489,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923AH1 | NOTE 5.250% 7/0 | 1,000,000 | $1,296,000 | thousands by filing date | principal |
| ETSY INC | 29786AAC0 | NOTE 3/0 | 233,000 | $1,294,000 | thousands by filing date | principal |
| SOUTH JERSEY INDS INC | 838518116 | UNIT 99/99/9999 | 33,225 | $1,279,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460G849 | DAILY 20 YR TREA | 15,000 | $1,222,000 | thousands by filing date | call |
| SURO CAP CORP | 86887Q109 | COM NEW | 85,199 | $1,154,000 | thousands by filing date | |
| SURO CAP CORP | 86887Q109 | COM NEW | 85,200 | $1,154,000 | thousands by filing date | put |
| NICE SYS INC | 65366HAB9 | BOND | 417,000 | $1,090,000 | thousands by filing date | principal |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 30,000 | $975,000 | thousands by filing date | call |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 8,000 | $960,000 | thousands by filing date | put |
| WORKDAY INC | 98138HAF8 | NOTE 0.250%10/0 | 531,000 | $915,000 | thousands by filing date | principal |
| iShares Silver Trust | 46428Q109 | COM | 40,000 | $908,000 | thousands by filing date | call |
| PAN AMERN SILVER CORP | 697900108 | COM | 30,000 | $901,000 | thousands by filing date | call |
| DOORDASH INC CL A | 25809K105 | Stock | 6,000 | $787,000 | thousands by filing date | put |
| NIKOLA CORP | 654110105 | COM | 56,000 | $778,000 | thousands by filing date | put |
| FTI CONSULTING INC | 302941AP4 | NOTE 2.000% 8/1 | 501,000 | $735,000 | thousands by filing date | principal |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 73,200 | $732,000 | thousands by filing date | put |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 5,000 | $677,000 | thousands by filing date | |
| CHANGE HEALTHCARE INC | 15912K209 | UNIT 99/99/9999 | 8,616 | $645,000 | thousands by filing date | |
| TERADYNE INC | 880770AG7 | NOTE | 164,000 | $631,000 | thousands by filing date | principal |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 61,900 | $619,000 | thousands by filing date | |
| ALTA EQUIPMENT GROUP INC | 02128L114 | *W EXP 02/14/202 | 174,606 | $611,000 | thousands by filing date | |
| INTL GNRL INSURANCE HLDNGS L | G4809J114 | WTS | 640,718 | $570,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 3,000 | $569,000 | thousands by filing date | put |
| NEUROCRINE BIOSCIENCES INC | 64125CAD1 | NOTE 2.250% 5/1 | 414,000 | $562,000 | thousands by filing date | principal |
| SPACE EX TECH SPACEX CLASS A | 19423L672 | Equity | 17,000 | $485,000 | thousands by filing date | put |
| DIGITAL MEDIA SOLUTIONS INC | 25401G114 | WTS | 297,307 | $485,000 | thousands by filing date | |
| REPLIGEN CORP | 759916AB5 | BOND | 250,000 | $441,000 | thousands by filing date | principal |
| AKAMAI TECHNOLOGIES INC | 00971TAJ0 | NOTE 0.125% 5/0 | 350,000 | $424,000 | thousands by filing date | principal |
| VUZIX CORP | 92921W300 | COM NEW | 15,000 | $382,000 | thousands by filing date | put |
| CLOVER HEALTH INVESTMENTS CO | 18914F103 | COMMON STOCK | 49,800 | $376,000 | thousands by filing date | put |
| RIOT PLATFORMS INC | 767292105 | COM | 7,000 | $373,000 | thousands by filing date | put |
| SYNAPTICS INC | 87157DAD1 | NOTE 0.500% 6/1 | 200,000 | $369,000 | thousands by filing date | principal |
| HUBSPOT INC | 443573AB6 | NOTE 0.250% 6/0 | 75,000 | $359,000 | thousands by filing date | principal |
| DASEKE INC | 23753F115 | *W EXP 02/27/202 | 1,006,389 | $342,000 | thousands by filing date | |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 30,000 | $323,000 | thousands by filing date | |
| Q2 HLDGS INC | 74736LAD1 | NOTE 0.750% 6/0 | 242,000 | $315,000 | thousands by filing date | principal |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 5,586 | $307,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AD6 | NOTE 1.625% 2/1 | 80,000 | $276,000 | thousands by filing date | principal |
| PERSHING SQUARE TONTINE HLDG COM | 71531R109 | CL A | 11,100 | $267,000 | thousands by filing date | put |
| RAPID7 INC | 753422AB0 | NOTE | 145,000 | $266,000 | thousands by filing date | principal |
| ZILLOW GROUP INC | 98954MAC5 | NOTE 1.500% 7/0 | 151,000 | $255,000 | thousands by filing date | principal |
| CANOO INC | 13803R110 | *W EXP 12/21/202 | 88,000 | $249,000 | thousands by filing date | |
| PERSHING SQUARE TONTINE HLDG COM | 71531R109 | CL A | 10,000 | $240,000 | thousands by filing date | |
| WAYFAIR INC | 94419LAB7 | NOTE 0.375% 9/0 | 77,000 | $233,000 | thousands by filing date | principal |
| INSEEGO CORP | 45782BAD6 | NOTE 3.250% 5/0 | 210,000 | $223,000 | thousands by filing date | principal |
| AES CORP | 00130H204 | CONV | 2,097 | $217,000 | thousands by filing date | |
| ALTAIR ENGR INC | 021369AA1 | BOND | 150,000 | $217,000 | thousands by filing date | principal |
| BLINK CHARGING CO | 09354A100 | COM | 5,000 | $206,000 | thousands by filing date | put |
| VIAVI SOLUTIONS INC | 925550AB1 | NOTE 1.000% 3/0 | 150,000 | $198,000 | thousands by filing date | principal |
| NEWBURY STREET ACQUISITN COR | 65101L203 | UNIT 04/30/2028 | 20,000 | $198,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 21,000 | $184,000 | thousands by filing date | call |
| BURGERFI INTERNATIONAL INC | 12122L119 | *W EXP 12/16/202 | 46,661 | $181,000 | thousands by filing date | |
| PINE TECHNOLOGY ACQUISITN CO | 722850203 | UNIT 03/31/2028 | 17,500 | $174,000 | thousands by filing date | |
| OPTIMUMBANK HLDGS INC | 68401P403 | COM | 42,623 | $165,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 10,000 | $162,000 | thousands by filing date | call |
| MALACCA STRAITS ACQUISITION | G5859B117 | COM CL A | 16,269 | $161,000 | thousands by filing date | |
| ROSECLIFF ACQUISITION CORP I | 77732R202 | UNIT 99/99/9999 | 16,076 | $159,000 | thousands by filing date | |
| PROPERTY SOLUTIONS ACQUISITION UNIT EX 030126 | 74350A207 | Stock | 16,000 | $157,000 | thousands by filing date | |
| TANGER INC | 875465106 | COM | 10,000 | $151,000 | thousands by filing date | call |
| AMERICAN ACQUISITION OPPT IN | 02369M201 | UNIT 05/28/2026 | 15,000 | $150,000 | thousands by filing date | |
| G&P ACQUISITION CORP | 36146G202 | UNIT 02/28/2028 | 15,000 | $149,000 | thousands by filing date | |
| WAYFAIR INC | 94419LAF8 | NOTE 1.000% 8/1 | 65,000 | $144,000 | thousands by filing date | principal |
| PRIVETERRA ACQUISITION CORP | 876545104 | COM CL A | 14,500 | $141,000 | thousands by filing date | |
| BTRS HOLDINGS INC | 11778X112 | W EXP 01/12/202 | 29,200 | $138,000 | thousands by filing date | |
| DELWINDS INS ACQUISITION COR | 24803C102 | CMN | 13,500 | $131,000 | thousands by filing date | |
| NEW FRONTIER HEALTH CORP | G6461G114 | *W EXP 11/30/202 | 54,313 | $128,000 | thousands by filing date | |
| MONTES ARCHIMEDES ACQUISITIO | 612657106 | COM CL A | 12,850 | $126,000 | thousands by filing date | |
| SPARTACUS ACQ CORP; TNT ACQ DT: 7/15/2022; CASH: $10.15 | 84677L109 | CL A | 12,600 | $124,000 | thousands by filing date | |
| AMPCO-PITTSBURG CORP | 032037111 | *W EXP 08/01/202 | 88,700 | $117,000 | thousands by filing date | |
| OKTA INC | 679295AD7 | NOTE 0.125% 9/0 | 85,000 | $115,000 | thousands by filing date | principal |
| ATLANTIC AVE ACQUISITION COR | 04906P101 | CMN | 11,850 | $115,000 | thousands by filing date | |
| VERB TECHNOLOGY CO INC | 92337U104 | COM | 78,000 | $109,000 | thousands by filing date | |
| ARCHIMEDES TECH SPAC PARTNR | 039562202 | UNIT 03/10/2026 | 11,000 | $109,000 | thousands by filing date | |
| PTK Acquisition Corp | 69375F108 | Common Stock | 10,677 | $105,000 | thousands by filing date | |
| COMSOVEREIGN HLDG CORP | 205650112 | *W EXP 12/18/202 | 72,058 | $90,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 80,000 | $83,000 | thousands by filing date | |
| SEANERGY MARITIME HLDGS CORP | Y73760194 | COM | 75,000 | $80,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 20,000 | $79,000 | thousands by filing date | call |
| BAUDAX BIO INC | 07160F107 | COM | 58,000 | $75,000 | thousands by filing date | call |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 56,242 | $70,000 | thousands by filing date | |
| BRIACELL THERAPEUTICS CORP | 10778Y112 | *W EXP 02/26/202 | 59,400 | $64,000 | thousands by filing date | |
| VERIFYME INC | 92346X115 | *W EXP 06/22/202 | 38,582 | $61,000 | thousands by filing date | |
| PINGTAN MARINE ENTERPRISE LT | G7114V102 | SHS | 56,000 | $58,000 | thousands by filing date | |
| FAT BRANDS INC | 30258N121 | *W EXP 07/16/202 | 15,000 | $53,000 | thousands by filing date | |
| HYCROFT MINING HOLDING CORP | 44862P117 | *W EXP 05/29/202 | 102,355 | $53,000 | thousands by filing date | |
| SAILPOINT TECHNOLOGIES HLDGS | 78781PAB1 | NOTE | 25,000 | $47,000 | thousands by filing date | principal |
| ELECTRAMECCANICA VEHS CORP | 284849114 | W EXP 08/03/202 | 15,500 | $45,000 | thousands by filing date | |
| IMAC HLDGS INC | 44967K112 | *W EXP 02/12/202 | 102,360 | $44,000 | thousands by filing date | |
| PYXIS TANKERS INC | Y71726122 | *W EXP 10/13/202 | 59,397 | $38,000 | thousands by filing date | |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 30,000 | $38,000 | thousands by filing date | |
| PAVMED INC | 70387R122 | *W EXP 04/30/202 | 13,235 | $37,000 | thousands by filing date | |
| NLS PHARMACEUTICS LTD | H57830111 | *W EXP 02/02/202 | 35,000 | $33,000 | thousands by filing date | |
| SIERRA METALS INC | 82639W106 | COM | 10,000 | $32,000 | thousands by filing date | |
| MEDIGUS LTD | 58471G128 | *W EXP 07/22/202 | 37,000 | $32,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 52603BAA5 | NOTE | 25,000 | $30,000 | thousands by filing date | principal |
| SEACHANGE INTL INC | 811699107 | COM | 18,000 | $28,000 | thousands by filing date | |
| IMAC HLDGS INC | 44967K104 | COM | 16,542 | $27,000 | thousands by filing date | |
| LIXTE BIOTECHNOLOGY HLDGS IN | 539319111 | *W EXP 11/30/202 | 26,600 | $22,000 | thousands by filing date | |
| PYXIS TANKERS INC | Y71726106 | COM | 20,000 | $21,000 | thousands by filing date | |
| GLOBAL BLUE GROUP HOLDING AG | H33700115 | *W EXP 08/28/202 | 15,450 | $19,000 | thousands by filing date | |
| ENTERA BIO LTD | M40527117 | *W EXP 06/27/202 | 35,257 | $18,000 | thousands by filing date | |
| HYCROFT MINING HOLDING CORP | 44862P133 | *W EXP 10/06/202 | 24,400 | $16,000 | thousands by filing date | |
| GEOVAX LABS INC | 373678119 | *W EXP 09/29/202 | 12,052 | $14,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 12,968 | $13,000 | thousands by filing date | principal |
| LANDSEA HOMES CORP | 51509P111 | *W EXP 01/08/202 | 16,000 | $4,000 | thousands by filing date | |
| BROADMARK RLTY CAP INC | 11135B118 | *W EXP 11/15/202 | 10,000 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001567619-21-010291 | this filing | 2021-05-17 | acceptance time not in the bulk data set |