13F-HR filed by Warberg Asset Management LLC
Warberg Asset Management LLC filed this 13F-HR for the quarter ended 2021-06-30, filed 2021-08-16, with 195 holding rows worth $515,845,000.
- Accession
- 0001567619-21-015647
- Filer
- CIK 1597506
- Filed
- 2021-08-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2021
A holdings report, 195 entries on the cover page, a total value of $515,845,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $515,845,000 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 | 361,000 | $154,530,000 | thousands by filing date | put |
| TESLA INC | 88160RAD3 | NOTE 2.375% 3/1 | 2,510,000 | $25,998,000 | thousands by filing date | principal |
| PLUG PWR INC | 72919PAD5 | NOTE 3.750% 6/0 | 3,485,000 | $23,727,000 | thousands by filing date | principal |
| NUANCE COMMUNICATIONS INC | 67020YAK6 | DBCV 1.000%12/1 | 5,749,000 | $12,984,000 | thousands by filing date | principal |
| SNAP INC | 83304AAD8 | NOTE 0.250% 5/0 | 4,000,000 | $12,603,000 | thousands by filing date | principal |
| RH | 74967XAA1 | BOND | 3,379,000 | $11,797,000 | thousands by filing date | principal |
| SEA LTD | 81141RAF7 | NOTE 2.375%12/0 | 3,708,000 | $11,438,000 | thousands by filing date | principal |
| NUANCE COMMUNICATIONS INC | 67020YAN0 | NOTE 1.250% 4/0 | 4,084,000 | $11,369,000 | thousands by filing date | principal |
| SERVICENOW INC | 81762PAC6 | NOTE 6/0 | 2,840,000 | $10,820,000 | thousands by filing date | principal |
| WIX COM LTD | 92940WAB5 | NOTE 7/0 | 5,155,000 | $10,621,000 | thousands by filing date | principal |
| WAYFAIR INC | 94419LAD3 | NOTE 1.125%11/0 | 3,555,000 | $9,750,000 | thousands by filing date | principal |
| RH | 74967XAD5 | CV | 2,835,000 | $9,074,000 | thousands by filing date | principal |
| DEXCOM INC | 252131AH0 | NOTE 0.750%12/0 | 3,341,000 | $8,700,000 | thousands by filing date | principal |
| HANNON ARMSTRONG SUST INFR C | 41068XAB6 | NOTE 4.125% 9/0 | 4,080,000 | $8,408,000 | thousands by filing date | principal |
| ZILLOW GROUP INC | 98954MAE1 | NOTE 0.750% 9/0 | 2,450,000 | $6,897,000 | thousands by filing date | principal |
| TERADYNE INC | 880770AG7 | NOTE | 1,626,000 | $6,891,000 | thousands by filing date | principal |
| Tesla Motors, Inc | 88160R101 | COM | 10,000 | $6,797,000 | thousands by filing date | put |
| ON SEMICONDUCTOR CORP | 682189AP0 | NOTE 1.625%10/1 | 3,400,000 | $6,475,000 | thousands by filing date | principal |
| BLOCK INC | 852234AD5 | NOTE 0.500% 5/1 | 2,066,000 | $6,458,000 | thousands by filing date | principal |
| MERCADOLIBRE INC | 58733RAD4 | NOTE 2.000% 8/1 | 1,559,000 | $5,528,000 | thousands by filing date | principal |
| Microsoft Corp | 594918104 | COM | 20,000 | $5,418,000 | thousands by filing date | call |
| HOSTESS BRANDS INC | 44109J114 | WTS | 2,133,405 | $5,184,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435AD7 | NOTE 0.750% 7/0 | 3,496,000 | $5,103,000 | thousands by filing date | principal |
| ZENDESK INC | 98936JAB7 | NOTE 0.250% 3/1 | 2,200,000 | $5,045,000 | thousands by filing date | principal |
| BANDWIDTH INC | 05988JAB9 | NOTE 0.250% 3/0 | 3,000,000 | $4,884,000 | thousands by filing date | principal |
| ETSY INC | 29786AAJ5 | NOTE 0.125%10/0 | 1,962,000 | $4,708,000 | thousands by filing date | principal |
| AMICUS THERAPEUTICS INC | 03152WAB5 | NOTE 3.000%12/1 | 2,800,000 | $4,410,000 | thousands by filing date | principal |
| Q2 HLDGS INC | 74736LAB5 | NOTE 0.750% 2/1 | 2,309,000 | $4,182,000 | thousands by filing date | principal |
| MICROCHIP TECHNOLOGY INC. | 595017AH7 | NOTE 2.250% 2/1 | 1,830,000 | $4,105,000 | thousands by filing date | principal |
| VARONIS SYS INC | 922280AB8 | BOND | 2,000,000 | $3,927,000 | thousands by filing date | principal |
| WILLSCOT HLDGS CORP | 971378104 | COM CL A | 131,149 | $3,655,000 | thousands by filing date | |
| KBR INC | 48242WAB2 | BOND | 2,057,000 | $3,220,000 | thousands by filing date | principal |
| REPLIGEN CORP | 759916AB5 | BOND | 1,778,000 | $3,189,000 | thousands by filing date | principal |
| PENN ENTERTAINMENT INC | 707569AU3 | NOTE 2.750% 5/1 | 915,000 | $3,066,000 | thousands by filing date | principal |
| HERCULES CAPITAL INC | 427096AF9 | DBCV 4.375% 2/0 | 2,755,000 | $2,926,000 | thousands by filing date | principal |
| DOORDASH INC CL A | 25809K105 | Stock | 16,000 | $2,853,000 | thousands by filing date | put |
| WILLSCOT HLDGS CORP | 971378104 | COM CL A | 96,000 | $2,676,000 | thousands by filing date | put |
| AKAMAI TECHNOLOGIES INC | 00971TAJ0 | NOTE 0.125% 5/0 | 2,000,000 | $2,623,000 | thousands by filing date | principal |
| BLOCK INC | 852234AF0 | NOTE 0.125% 3/0 | 1,266,000 | $2,609,000 | thousands by filing date | principal |
| COUPA SOFTWARE INC | 22266LAC0 | NOTE 0.125% 6/1 | 1,500,000 | $2,598,000 | thousands by filing date | principal |
| SOUTHWEST AIRLS CO | 844741BG2 | NOTE 1.250% 5/0 | 1,706,000 | $2,583,000 | thousands by filing date | principal |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 44,000 | $2,494,000 | thousands by filing date | put |
| NEXTERA ENERGY INC | 65339F796 | COM | 43,867 | $2,451,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J112 | WTS | 1,125,088 | $2,419,000 | thousands by filing date | |
| Barclays Bank PLC | 06747R477 | COM | 81,000 | $2,386,000 | thousands by filing date | call |
| FTI CONSULTING INC | 302941AP4 | NOTE 2.000% 8/1 | 1,597,000 | $2,288,000 | thousands by filing date | principal |
| KNOWLES CORP | 49926DAB5 | NOTE 3.250%11/0 | 2,000,000 | $2,227,000 | thousands by filing date | principal |
| INNOVATIVE INDL PPTYS INC COM | 45781V101 | REIT | 11,500 | $2,197,000 | thousands by filing date | put |
| WOLFSPEED INC | 225447AD3 | NOTE 1.750% 5/0 | 1,000,000 | $2,165,000 | thousands by filing date | principal |
| BLACKLINE INC | 09239BAB5 | NOTE 0.125% 8/0 | 1,325,000 | $2,130,000 | thousands by filing date | principal |
| HCI GROUP INC | 40416EAD5 | NOTE 4.250% 3/0 | 1,194,000 | $1,959,000 | thousands by filing date | principal |
| ROKU INC COM CL A | 77543R102 | Stock | 4,000 | $1,837,000 | thousands by filing date | put |
| INSULET CORP | 45784PAH4 | NOTE 1.375%11/1 | 623,000 | $1,837,000 | thousands by filing date | principal |
| ZYNGA INC | 98986TAB4 | NOTE 0.250% 6/0 | 1,249,000 | $1,725,000 | thousands by filing date | principal |
| RAPID7 INC | 753422AB0 | NOTE | 755,000 | $1,718,000 | thousands by filing date | principal |
| ESSENTIAL UTILS INC | 29670G201 | UNIT 04/30/2022 | 26,842 | $1,542,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 60,000 | $1,453,000 | thousands by filing date | call |
| NVIDIA Corp | 67066G104 | COM | 7,000 | $1,400,000 | thousands by filing date | call |
| NUANCE COMMUNICATIONS INC | 67020YAG5 | DEBT 1.500%11/0 | 509,000 | $1,346,000 | thousands by filing date | principal |
| NICE SYS INC | 65366HAB9 | BOND | 427,000 | $1,267,000 | thousands by filing date | principal |
| COLFAX CORP | 194014205 | UNIT 01/15/2022T | 6,689 | $1,251,000 | thousands by filing date | |
| SURO CAP CORP | 86887Q109 | COM NEW | 89,939 | $1,213,000 | thousands by filing date | |
| DOCUSIGN INC | 256163AB2 | NOTE 0.500% 9/1 | 292,000 | $1,142,000 | thousands by filing date | principal |
| SURO CAP CORP | 86887Q109 | COM NEW | 84,000 | $1,133,000 | thousands by filing date | put |
| EXXON MOBIL CORP | 30231G102 | COM | 17,000 | $1,072,000 | thousands by filing date | call |
| DIREXION SHARES ETF TRUST | 25460G849 | DAILY 20 YR TREA | 15,000 | $977,000 | thousands by filing date | call |
| PURECYCLE TECHNOLOGIES INC | 74623V103 | COM | 41,000 | $970,000 | thousands by filing date | put |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 7,000 | $915,000 | thousands by filing date | put |
| GFL ENVIRONMENTAL INC | 36168Q120 | CONV | 12,130 | $907,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 69,000 | $843,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 24,500 | $833,000 | thousands by filing date | call |
| GCM GROSVENOR INC | 36831E116 | W EXP 11/17/202 | 538,121 | $829,000 | thousands by filing date | |
| NIKOLA CORP | 654110105 | COM | 45,000 | $813,000 | thousands by filing date | put |
| SNAP INC | 83304AAB2 | NOTE 0.75% 08/01/2026 | 260,000 | $785,000 | thousands by filing date | principal |
| DIGITAL MEDIA SOLUTIONS INC | 25401G114 | WTS | 558,186 | $770,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 50,000 | $743,000 | thousands by filing date | call |
| ARBOR REALTY TRUST INC | 038923AH1 | NOTE 5.250% 7/0 | 500,000 | $740,000 | thousands by filing date | principal |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 73,200 | $739,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 73,200 | $739,000 | thousands by filing date | put |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 11,000 | $660,000 | thousands by filing date | |
| SEA LTD | 81141RAD2 | NOTE 1.000%12/0 | 120,000 | $657,000 | thousands by filing date | principal |
| PAN AMERN SILVER CORP | 697900108 | COM | 22,500 | $643,000 | thousands by filing date | call |
| INTL GNRL INSURANCE HLDNGS L | G4809J114 | WTS | 639,277 | $639,000 | thousands by filing date | |
| PELOTON INTERACTIVE INC | 70614W100 | CL A COM | 5,000 | $620,000 | thousands by filing date | put |
| PERSHING SQUARE TONTINE HLDG COM | 71531R109 | CL A | 25,000 | $569,000 | thousands by filing date | |
| ZILLOW GROUP INC | 98954MAG6 | NOTE 1.375% 9/0 | 200,000 | $567,000 | thousands by filing date | principal |
| ALFI INC | 00161P117 | *W EXP 04/29/202 | 54,888 | $563,000 | thousands by filing date | |
| PAVMED INC | 70387R122 | *W EXP 04/30/202 | 108,509 | $521,000 | thousands by filing date | |
| MUDRICK CAPITAL ACQU CORP II | 62477L107 | COM CL A | 40,000 | $498,000 | thousands by filing date | put |
| POLISHED COM INC | 28252C117 | *W EXP 06/02/202 | 224,638 | $478,000 | thousands by filing date | |
| KALEYRA INC | 483379111 | *W EXP 11/25/202 | 144,000 | $461,000 | thousands by filing date | |
| HUBSPOT INC | 443573AB6 | NOTE 0.250% 6/0 | 75,000 | $460,000 | thousands by filing date | principal |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 24,000 | $452,000 | thousands by filing date | call |
| TROIKA MEDIA GROUP INC | 89689F115 | *W EXP 04/13/202 | 556,350 | $439,000 | thousands by filing date | |
| AMERICAN EAGLE OUTFITTERS IN | 02553EAB2 | NOTE 3.750% 4/1 | 97,000 | $423,000 | thousands by filing date | principal |
| COLONY STARWOOD HOMES | 19625XAB8 | NOTE 3.500% 1/1 | 212,000 | $347,000 | thousands by filing date | principal |
| KIROMIC BIOPHARMA INC | 497634105 | COM | 63,000 | $303,000 | thousands by filing date | |
| Barclays Bank PLC | 06747R477 | COM | 9,935 | $293,000 | thousands by filing date | |
| ETSY INC | 29786AAC0 | NOTE 3/0 | 51,000 | $289,000 | thousands by filing date | principal |
| HUBSPOT INC | 443573AD2 | NOTE 0.375% 6/0 | 125,000 | $265,000 | thousands by filing date | principal |
| LIVEPERSON INC | 538146AB7 | BOND | 150,000 | $264,000 | thousands by filing date | principal |
| MUDRICK CAPITAL ACQU CORP II | 62477L107 | COM CL A | 21,000 | $262,000 | thousands by filing date | |
| PROTAGENIC THERAPEUTICS INC | 74365N111 | *W EXP 04/26/202 | 365,790 | $260,000 | thousands by filing date | |
| INHIBIKASE THERAPEUTICS INC | 45719W106 | COM | 90,000 | $252,000 | thousands by filing date | |
| ALGONQUIN PWR UTILS CORP | 015857873 | CONV | 5,000 | $248,000 | thousands by filing date | |
| MOUNTAIN CREST ACQUSITN CRP | 62403K207 | UNIT 06/29/2026 | 25,000 | $248,000 | thousands by filing date | |
| WORKDAY INC | 98138HAF8 | NOTE 0.250%10/0 | 147,000 | $243,000 | thousands by filing date | principal |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 4,000 | $241,000 | thousands by filing date | put |
| WAYFAIR INC | 94419LAB7 | NOTE 0.375% 9/0 | 79,000 | $239,000 | thousands by filing date | principal |
| ALTAIR ENGR INC | 021369AA1 | BOND | 150,000 | $233,000 | thousands by filing date | principal |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 25,000 | $226,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 1,000 | $214,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 1,000 | $214,000 | thousands by filing date | put |
| VIAVI SOLUTIONS INC | 925550AB1 | NOTE 1.000% 3/0 | 150,000 | $213,000 | thousands by filing date | principal |
| CONMED CORP | 207410AF8 | BOND | 131,000 | $212,000 | thousands by filing date | principal |
| CEREVEL THERAPEUTICS HLDNG I | 15678U128 | COM | 8,000 | $205,000 | thousands by filing date | put |
| INSULET CORP | 45784PAK7 | NOTE 0.375% 9/0 | 150,000 | $204,000 | thousands by filing date | principal |
| GLOBAL CONSUMER ACQUISITION CORP. | 37892B207 | COM | 20,000 | $200,000 | thousands by filing date | |
| FAR PEAK ACQUISITION CORP | G3312L103 | SHS CL A | 19,900 | $198,000 | thousands by filing date | |
| CITIC CAPITAL ACQUISITION CO | G21513109 | COM CL A | 19,900 | $197,000 | thousands by filing date | |
| NEWBURY STREET ACQUISITN COR | 65101L104 | COM | 20,000 | $193,000 | thousands by filing date | |
| TESLA INC | 88160RAG6 | NOTE 2.000% 5/1 | 17,000 | $186,000 | thousands by filing date | principal |
| WTS/CLEVER LEAVES HOLDINGS INC 11.5000EXP12/31/2025 | 186760112 | WARR | 88,559 | $184,000 | thousands by filing date | |
| CLOVER HEALTH INVESTMENTS CO | 18914F111 | *W EXP 04/21/202 | 35,000 | $179,000 | thousands by filing date | |
| PINE TECHNOLOGY ACQUISITN CO | 722850104 | CLASS A COM | 17,502 | $170,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 19,000 | $165,000 | thousands by filing date | put |
| ALTITUDE ACQUISITION CORP | 02156Y103 | COM CL A | 16,400 | $161,000 | thousands by filing date | |
| MALACCA STRAITS ACQUISITION | G5859B117 | COM CL A | 16,269 | $161,000 | thousands by filing date | |
| ROSECLIFF ACQUISITION CORP I | 77732R103 | COM | 16,077 | $156,000 | thousands by filing date | |
| PROPERTY SOLUTIONS ACQUISITI | 74350A108 | COM | 16,000 | $155,000 | thousands by filing date | |
| ATLAS CREST INVT CORP | 049284102 | COM | 15,200 | $151,000 | thousands by filing date | |
| BURGERFI INTERNATIONAL INC | 12122L119 | *W EXP 12/16/202 | 66,879 | $150,000 | thousands by filing date | |
| CONX CORP | 212873103 | WRNT | 15,044 | $148,000 | thousands by filing date | |
| COLISEUM ACQUISITION CORP | G2263T115 | UNIT 08/22/2028 | 15,000 | $148,000 | thousands by filing date | |
| PINE IS ACQUISITION CORP | 722615101 | CL A | 15,000 | $146,000 | thousands by filing date | |
| G&P ACQUISITION CORP | 36146G103 | CMN | 15,000 | $146,000 | thousands by filing date | |
| GIGINTERNATIONAL1 INC UNIT EX 051926 | 37518W205 | Stock | 14,400 | $145,000 | thousands by filing date | |
| PRIVETERRA ACQUISITION CORP | 876545104 | COM CL A | 14,500 | $141,000 | thousands by filing date | |
| PROOFPOINT INC | 743424AF0 | NOTE 0.250% 8/1 | 109,000 | $137,000 | thousands by filing date | principal |
| OPTIMUMBANK HLDGS INC | 68401P403 | COM | 27,775 | $134,000 | thousands by filing date | |
| CLOVER HEALTH INVESTMENTS CO | 18914F103 | COMMON STOCK | 10,000 | $133,000 | thousands by filing date | put |
| AMERICAN VRTUAL CLOUD TECH I | 030382105 | COM | 22,282 | $133,000 | thousands by filing date | |
| DELWINDS INS ACQUISITION COR | 24803C102 | CMN | 13,500 | $132,000 | thousands by filing date | |
| BTRS HOLDINGS INC | 11778X112 | W EXP 01/12/202 | 33,000 | $130,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 15,700 | $126,000 | thousands by filing date | call |
| CANOO INC | 13803R110 | *W EXP 12/21/202 | 42,000 | $126,000 | thousands by filing date | |
| DILA CAPITAL ACQUISITION CORP UNIT | 254028202 | Stock | 12,465 | $126,000 | thousands by filing date | |
| DATA STORAGE CORP | 23786R110 | *W EXP 05/18/202 | 99,374 | $121,000 | thousands by filing date | |
| SOARING EAGLE ACQUISITION CO | G8354H126 | CL A SHS | 12,000 | $120,000 | thousands by filing date | |
| DPCM CAP INC | 23344P101 | CMN | 12,000 | $119,000 | thousands by filing date | |
| BM TECHNOLOGIES INC | 05591L115 | *W EXP 01/04/202 | 45,972 | $118,000 | thousands by filing date | |
| VPC IMPACT ACQUISITION HLDNG | G9441E100 | SHS CL A | 11,815 | $118,000 | thousands by filing date | |
| DASEKE INC | 23753F115 | *W EXP 02/27/202 | 1,013,192 | $117,000 | thousands by filing date | |
| DICKS SPORTING GOODS INC | 253393AD4 | NOTE 3.250% 4/1 | 39,000 | $116,000 | thousands by filing date | principal |
| ATLANTIC AVE ACQUISITION COR | 04906P101 | CMN | 11,850 | $115,000 | thousands by filing date | |
| JAWS HURRICANE ACQUISITN COR | 47201B202 | UNIT 06/08/2026 | 11,374 | $114,000 | thousands by filing date | |
| WHOLE EARTH BRANDS INC | 96684W126 | WARRANT | 50,000 | $111,000 | thousands by filing date | |
| ARCHIMEDES TECH SPAC PARTNR CO SUB UNIT | 039562301 | Stock | 11,000 | $107,000 | thousands by filing date | |
| ZANITE ACQUISITION CORP | 98907K103 | COM CL A | 10,600 | $107,000 | thousands by filing date | |
| ELLIOTT OPPORTUNITY II CORP | G30092129 | UNIT 99/99/9999 | 10,000 | $100,000 | thousands by filing date | |
| GROM SOCIAL ENTERPRISES INC | 39878L118 | *W EXP 06/17/202 | 90,400 | $90,000 | thousands by filing date | |
| SOS LIMITED | 83587W106 | SPNSORD ADS NEW | 26,900 | $89,000 | thousands by filing date | put |
| WTS/DIGITAL BRANDS GROUP, INC. 11.5000EXP12/31/2028 | 25401N119 | COM | 51,800 | $88,000 | thousands by filing date | |
| AMPCO-PITTSBURG CORP | 032037111 | *W EXP 08/01/202 | 87,500 | $79,000 | thousands by filing date | |
| HARBOR CUSTOM DEVELOPMENT IN | 41150T116 | *W EXP 05/09/202 | 120,240 | $76,000 | thousands by filing date | |
| BILIBILI INC | 090040AB2 | NOTE 1.375% 4/0 | 15,000 | $74,000 | thousands by filing date | principal |
| NEXTPLAT CORP | 68557F118 | *W EXP 06/02/202 | 36,900 | $65,000 | thousands by filing date | |
| AUDDIA INC | 05072K115 | *W EXP 02/19/202 | 32,000 | $60,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 50,000 | $59,000 | thousands by filing date | |
| BRIACELL THERAPEUTICS CORP | 10778Y112 | *W EXP 02/26/202 | 32,000 | $58,000 | thousands by filing date | |
| VERIFYME INC | 92346X115 | *W EXP 06/22/202 | 37,108 | $52,000 | thousands by filing date | |
| HARBOR CUSTOM DEVELOPMENT IN | 41150T108 | COM | 15,583 | $50,000 | thousands by filing date | |
| SAILPOINT TECHNOLOGIES HLDGS | 78781PAB1 | NOTE | 25,000 | $47,000 | thousands by filing date | principal |
| ZIVO BIOSCIENCE INC | 98978N119 | *W EXP 06/02/202 | 30,000 | $45,000 | thousands by filing date | |
| ENTERA BIO LTD | M40527117 | *W EXP 06/27/202 | 45,001 | $45,000 | thousands by filing date | |
| NLS PHARMACEUTICS LTD | H57830111 | *W EXP 02/02/202 | 40,111 | $44,000 | thousands by filing date | |
| HYCROFT MINING HOLDING CORP | 44862P133 | *W EXP 10/06/202 | 51,158 | $43,000 | thousands by filing date | |
| WAYFAIR INC | 94419LAF8 | NOTE 1.000% 8/1 | 19,000 | $42,000 | thousands by filing date | principal |
| COMSOVEREIGN HLDG CORP | 205650112 | *W EXP 12/18/202 | 35,000 | $41,000 | thousands by filing date | |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 30,000 | $34,000 | thousands by filing date | |
| IMAC HLDGS INC | 44967K112 | *W EXP 02/12/202 | 65,625 | $33,000 | thousands by filing date | |
| PANBELA THERAPEUTICS INC | 69833Q100 | COM | 11,567 | $33,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 54,000 | $31,000 | thousands by filing date | |
| ADVANTAGE SOLUTIONS INC | 00791N110 | *W EXP 10/28/202 | 12,000 | $30,000 | thousands by filing date | |
| ZILLOW GROUP INC | 98954MAC5 | NOTE 1.500% 7/0 | 15,000 | $23,000 | thousands by filing date | principal |
| GEOVAX LABS INC | 373678119 | *W EXP 09/29/202 | 16,302 | $22,000 | thousands by filing date | |
| PYXIS TANKERS INC | Y71726106 | COM | 25,000 | $22,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 15,400 | $20,000 | thousands by filing date | |
| PYXIS TANKERS INC | Y71726122 | *W EXP 10/13/202 | 47,045 | $19,000 | thousands by filing date | |
| MEDIGUS LTD | 58471G128 | *W EXP 07/22/202 | 32,900 | $19,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 12,968 | $15,000 | thousands by filing date | principal |
| SPLASH BEVERAGE GROUP INC | 84862C112 | *W EXP 06/15/202 | 13,512 | $15,000 | thousands by filing date | |
| GX ACQUISITION CORP | 36251A115 | *W EXP 05/24/202 | 10,000 | $14,000 | thousands by filing date | |
| LIXTE BIOTECHNOLOGY HLDGS IN | 539319111 | *W EXP 11/30/202 | 14,354 | $11,000 | thousands by filing date | |
| NEWBURY STREET ACQUISITN COR | 65101L112 | *W EXP 04/30/202 | 10,000 | $8,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001567619-21-015647 | this filing | 2021-08-16 | acceptance time not in the bulk data set |