Skip to content
Disclosery

13F-HR filed by Warberg Asset Management LLC

Warberg Asset Management LLC filed this 13F-HR for the quarter ended 2023-06-30, filed 2023-08-09, with 238 holding rows worth $602,597,374.

Accession
0001597506-23-000003
Filer
CIK 1597506
Filed
2023-08-09
Accepted by EDGAR
acceptance time not in the bulk data set
Ingested
Source
SEC quarterly data set

Original filing

13F report for Q2 2023

A holdings report, 238 entries on the cover page, a total value of $602,597,374 stated on the cover page (in dollars after the unit check, H1), rows summing to $602,597,374 with VALUE read as dollars as filed, 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 filedCUSIPClassAmountValueValue read asType
SPDR S&P 500 ETF TR78462F953PUT403,000$178,641,840dollars as filedput
ON SEMICONDUCTOR CORP682189AP0NOTE 1.625%10/18,778,000$40,012,184dollars as filedprincipal
DEXCOM INC252131AH0NOTE 0.750%12/012,694,000$39,651,924dollars as filedprincipal
KBR INC48242WAB2BOND14,524,000$37,223,924dollars as filedprincipal
OCCIDENTAL PETE CORP WT EXP 080327674599162Stock997,821$36,812,631dollars as filed
INVESCO QQQ TR46090E953PUT93,800$34,651,596dollars as filedput
TERADYNE INC880770AG7NOTE7,612,000$26,918,936dollars as filedprincipal
MERCADOLIBRE INC58733RAD4NOTE 2.000% 8/16,570,000$17,972,513dollars as filedprincipal
RH74967XAD5CV8,057,000$12,892,801dollars as filedprincipal
ALTAIR ENGR INC021369AA1BOND6,700,000$10,948,365dollars as filedprincipal
EQT CORP26884LAK5NOTE 1.750% 5/03,693,000$10,412,552dollars as filedprincipal
FTI CONSULTING INC302941AP4NOTE 2.000% 8/14,665,000$8,752,426dollars as filedprincipal
APPLE INC037833950PUT43,000$8,340,710dollars as filedput
HERTZ GLOBAL HLDGS INC42806J148*W EXP 06/30/205750,636$7,612,834dollars as filed
SEA LTD81141RAD2NOTE 1.000%12/05,000,000$6,421,875dollars as filedprincipal
ETSY INC29786AAJ5NOTE 0.125%10/05,305,000$6,283,853dollars as filedprincipal
VERADIGM INC01988PAF5BOND5,500,000$6,114,049dollars as filedprincipal
PIONEER NAT RES CO723787AP2NOTE 0.250% 5/12,666,000$5,858,960dollars as filedprincipal
ATI INC01741RAK8BOND2,000,000$5,795,633dollars as filedprincipal
CONMED CORP207410AF8BOND3,170,000$4,885,200dollars as filedprincipal
ISHARES TR464287955PUT26,000$4,869,020dollars as filedput
PARSONS CORP DEL70202LAB8BOND3,839,000$4,407,932dollars as filedprincipal
BOX INC10316TAB0NOTE 1/13,500,000$4,358,848dollars as filedprincipal
BOOKING HOLDINGS INC09857LAN8NOTE 0.750% 5/02,411,000$3,616,176dollars as filedprincipal
REPLIGEN CORP759916AB5BOND2,678,000$3,518,209dollars as filedprincipal
SURGEPAYS INC86882L113*W EXP 10/22/2021,236,899$3,376,734dollars as filed
PROGRESS SOFTWARE CORP743312AB6NOTE 1.000% 4/13,000,000$3,295,000dollars as filedprincipal
AKAMAI TECHNOLOGIES INC00971TAJ0NOTE 0.125% 5/02,980,000$3,184,532dollars as filedprincipal
INTERDIGITAL INC45867GAB7BOND2,500,000$3,041,016dollars as filedprincipal
MIDDLEBY CORP596278AB7NOTE 1.000% 9/02,438,000$3,033,900dollars as filedprincipal
HOME DEPOT INC437076902CALL9,000$2,795,760dollars as filedcall
VANECK ETF TRUST92189F906CALL89,000$2,679,790dollars as filedcall
NICE SYS INC65366HAB9BOND1,060,000$2,623,336dollars as filedprincipal
FORD MTR CO345370CZ1NOTE 3/12,000,000$2,188,736dollars as filedprincipal
ARK ETF TR00214Q954PUT45,000$1,986,300dollars as filedput
MICROCHIP TECHNOLOGY INC.595017AF1NOTE 1.625% 2/1771,000$1,966,853dollars as filedprincipal
ZSCALER INC98980GAB8NOTE 0.125% 7/01,667,000$1,947,990dollars as filedprincipal
MCDONALDS CORP580135951PUT6,000$1,790,460dollars as filedput
MICROSOFT CORP594918904CALL5,000$1,702,700dollars as filedcall
NEW ENGLAND RLTY ASSOC LTD P644206104DEPOSITRY RCPT22,104$1,603,077dollars as filed
EXPAND ENERGY CORPORATION165167180*W EXP 02/09/20222,225$1,467,295dollars as filed
IShares S&P 500 Index Fund464287952ETF14,000$1,441,160dollars as filedput
STATE STR SPDR S&P 500 ETF T78462F903CALL3,000$1,329,840dollars as filedcall
NVIDIA CORPORATION67066G954PUT3,000$1,269,060dollars as filedput
FISKER INC33813J956PUT204,300$1,152,252dollars as filedput
WESTERN ALLIANCE BANCORP957638959COM31,000$1,130,570dollars as filedput
INVESCO QQQ TR46090E903CALL3,000$1,108,260dollars as filedcall
BARCLAYS BANK PLC06748F904COM40,000$1,000,000dollars as filedcall
DATADOG INC23804LAB9NOTE 0.125% 6/1793,000$986,205dollars as filedprincipal
PALO ALTO NETWORKS INC697435AF2NOTE 0.375% 6/0370,000$952,356dollars as filedprincipal
EPR PPTYS26884U208PFD C CV 5.75%38,600$814,460dollars as filed
EXPAND ENERGY CORPORATION165167164*W EXP 02/09/20210,698$787,854dollars as filed
PHP Ventures Acquisition Corp69291C106COM69,973$750,111dollars as filed
ISHARES SILVER TR46428Q909CALL35,000$731,150dollars as filedcall
MODERNA INC60770K957PUT6,000$729,000dollars as filedput
HUDSON ACQUISITION I CORP44364H100COMMON STOCK69,800$723,826dollars as filed
GOLDENSTONE ACQUISITION LTD COM38136Y102Rights66,023$699,844dollars as filed
INTEGRATED RAIL AND RES ACQ45827R106COM64,642$695,225dollars as filed
MICROSOFT CORP594918954PUT2,000$681,080dollars as filedput
Oak Woods Acquisition Corp67190B104Equity65,000$667,875dollars as filed
EON RESOURCES INC40472A102COM CL A62,266$661,265dollars as filed
MONTEREY CAP ACQUISITION COR61244M109CLASS A COM60,889$637,203dollars as filed
JETAI INC COMG6855L109Stock54,902$596,785dollars as filed
ACRI CAPITAL ACQUISITION COR00501A101COM CL A54,500$589,973dollars as filed
BLOOMIN BRANDS INC094235AB4NOTE 5.000% 5/0243,000$582,971dollars as filedprincipal
AMC ENTMT HLDGS INC00165C954COM125,700$553,080dollars as filedput
26 Capital Acquisition Corp90138P100Equity49,934$537,290dollars as filed
CARVANA CO146869902CALL20,000$518,400dollars as filedcall
GLOBAL BLOCKCHAIN ACQUI CORP37961B104COMMON STOCK48,078$501,934dollars as filed
PRIME NO ACQUISITION I CORP74168P107COM CL A46,800$493,506dollars as filed
MOBIV ACQUISITION CORP60742N106CLASS A COM44,250$467,944dollars as filed
ATLANTIC COASTAL ACQUISTN CO048453104CLASS A COM45,104$465,699dollars as filed
FG MERGER CORP30324Y101COMMON STOCK41,421$438,441dollars as filed
JPMORGAN CHASE & CO46625H900CALL3,000$436,320dollars as filedcall
NVIDIA CORPORATION67066G904CALL1,000$423,020dollars as filedcall
EVEREST CONSOLIDATOR ACQ COR29978K102COM39,427$419,898dollars as filed
UNITED STS NAT GAS FD LP912318900COM54,000$400,680dollars as filedcall
AIMFINITY INVESTMENT CORP IG0135E142UNIT 04/21/202729,700$311,850dollars as filed
BANK HAWAII CORP062540959PUT7,500$309,225dollars as filedput
SIRIUSPOINT LTDG8192H956COM32,700$295,281dollars as filedput
INTL GNRL INSURANCE HLDNGS LG4809J114WTS480,509$293,831dollars as filed
ISHARES TR46432F956Option2,000$288,500dollars as filedput
FIRST TRUST LOW DURATION OPPORTUNITIES ETF33739Q200ETF5,813$277,106dollars as filed
PONO CAP THREE INCG71704103ORD SHS CL A25,300$262,994dollars as filed
JOBY AVIATION INCG65163118*W EXP 08/10/20298,000$259,700dollars as filed
EXPAND ENERGY CORPORATION165167172*W EXP 02/09/2023,611$253,384dollars as filed
CHART INDS INC16115QAE0NOTE 1.000%11/185,000$233,180dollars as filedprincipal
TRAILBLAZER MERGER CORP I89278D109CL A22,690$231,211dollars as filed
PLUTONIAN ACQUISITION CORP72942P104COM22,196$230,505dollars as filed
RIVIAN AUTOMOTIVE INC76954A903COM CL A13,600$226,576dollars as filedcall
ALPHA STAR ACQUISITION CORPG0230C108ORDINARY SHARES21,103$226,435dollars as filed
RENEW ENERGY GLOBAL PLCG7500M120WTS278,111$222,489dollars as filed
Aura FAT Projects Acquisition CorpG06362100COM20,361$215,419dollars as filed
ENPHASE ENERGY INC29355AAF4BOND100,000$214,756dollars as filedprincipal
COMPOSECURE INC20459V113*W EXP 12/27/202203,563$213,741dollars as filed
AMPRIUS TECHNOLOGIES INC03214Q116*W EXP 09/14/202442,910$212,597dollars as filed
NOBLE CORP PLCG65431150WTS8,422$210,255dollars as filed
ESH ACQUISITION CORP296424203UNIT 06/13/202820,455$207,414dollars as filed
VISION SENSING ACQUISITION C92838J103COM17,677$189,232dollars as filed
M3 BRIGADE ACQUISITION III55407R103COM17,735$185,419dollars as filed
GLOBAL STAR ACQUISITION-CL A37962G102COM17,456$182,764dollars as filed
SOUTHWESTERN ENERGY CO845467909COM30,000$180,300dollars as filedcall
RF ACQUISITION CORP74954L104COM17,001$177,915dollars as filed
SURGEPAYS INC86882L954COM NEW22,400$163,744dollars as filedput
FUTURETECH II ACQUISITION CO36119D103CLASS A COM14,654$156,651dollars as filed
ROIVANT SCIENCES LTDG76279119*W EXP 09/30/20259,772$148,235dollars as filed
LIVENT CORP53814LAB4BOND45,000$144,120dollars as filedprincipal
HUBSPOT INC443573AD2NOTE 0.375% 6/071,000$135,805dollars as filedprincipal
BEYOND MEAT INC08862E959PUT10,000$129,800dollars as filedput
GOAL ACQUISITIONS CORP38021H107COM12,414$128,857dollars as filed
NEOVOLTA INC640655114*W EXP 04/01/202229,125$126,019dollars as filed
AIB ACQUISITION CORPORATIONG0R45S109CLASS A ORD11,424$123,836dollars as filed
ISRAEL ACQUISITIONS CORPG49667101CLASS A ORD10,850$113,005dollars as filed
NEUROCRINE BIOSCIENCES INC64125CAD1NOTE 2.250% 5/186,000$109,667dollars as filedprincipal
CANTALOUPE INC138103956PUT13,600$108,256dollars as filedput
AZITRA INC05479L104COM29,000$105,560dollars as filed
REDWOODS ACQUISITION CORP758083109COM10,065$105,381dollars as filed
FUNDAMENTAL GLOBAL INC30329Y106COMMON56,582$104,677dollars as filed
FISKER INC33813J106CL A COM STK18,000$101,520dollars as filed
PYXIS TANKERS INCY71726122*W EXP 10/13/20289,264$99,083dollars as filed
TINGO GROUP INC55328R959COM81,400$98,494dollars as filedput
KWESST MICRO SYSTEMS INC501506133*W EXP 09/01/202189,146$85,116dollars as filed
DIRECT DIGITAL HOLDINGS INC25461T113*W EXP 02/15/202130,740$84,981dollars as filed
ALLIANCE ENTERTAINMENT HOLDI01861F102COM CLASS A30,000$80,700dollars as filed
PETVIVO HLDGS INC716817119*W EXP 08/13/202253,127$68,623dollars as filed
NEXTPLAT CORP68557F118*W EXP 06/02/20271,308$65,839dollars as filed
ZIVO BIOSCIENCE INC98978N119*W EXP 06/02/202107,463$64,467dollars as filed
TINGO GROUP INC55328R909COM50,800$61,468dollars as filedcall
AMC ENTMT HLDGS INC00165C904COM13,000$57,200dollars as filedcall
STRONG GLOBAL ENTMT INC86335G109CL A COM VOTING18,759$55,902dollars as filed
ON SEMICONDUCTOR CORP682189AS4NOTE 5/030,000$55,162dollars as filedprincipal
MIRION TECHNOLOGIES INC60471A119*W EXP 10/20/20230,096$54,775dollars as filed
HAMMERHEAD ENERGY INC408302115*W EXP 02/23/20238,000$53,580dollars as filed
TOUGHBUILT INDS INC89157G884COMMON167,939$50,147dollars as filed
Bullfrog AI Holdings Inc12021E117Warrant69,086$49,396dollars as filed
SAVERONE 2014 LTD80516T113*W EXP 06/02/202201,104$44,333dollars as filed
BRANCHOUT FOOD INC105230106COM13,000$42,250dollars as filed
BIOSIG TECHNOLOGIES INC09073N201COM NEW32,928$41,160dollars as filed
UPEXI INC39959A106COMMON17,699$39,823dollars as filed
BONE BIOLOGICS CORP098070402COM NEW27,000$38,340dollars as filed
NEPTUNE WELLNESS SOLUTIONS I64079L204COM NEW250,000$36,750dollars as filed
TWIN VEE POWERCATS CO90177C101COM17,294$36,663dollars as filed
TARGET HOSPITALITY CORP87615L115*W EXP 03/15/20210,325$35,725dollars as filed
ONFOLIO HOLDINGS INC68277K124*W EXP 01/02/202200,753$35,333dollars as filed
POLISHED COM INC28252C117*W EXP 06/02/202526,228$34,152dollars as filed
TENON MEDICAL INC88066N113*W EXP 06/16/202320,500$33,492dollars as filed
THARIMMUNE INC432705101COM86,597$31,591dollars as filed
ASP ISOTOPES INC00218A105COM55,218$31,353dollars as filed
TALKSPACE INC87427V111*W EXP 06/21/202520,540$31,284dollars as filed
INUVO INC46122W204COM NEW140,000$31,080dollars as filed
MOBILICOM LTD60742B110*W EXP 08/31/202126,366$29,064dollars as filed
CERBERUS CYBER SENTINEL CORP15672X102COM160,000$28,880dollars as filed
CINEVERSE CORP172406308COM CL A15,000$28,575dollars as filed
PAGAYA TECHNOLOGIES LTDM7S64L905COM20,000$28,000dollars as filedcall
Apollomics Inc W Exp 04/01/202G0411D115SPAC Combination337,150$27,832dollars as filed
FGI INDUSTRIES LTDG3302D111*W EXP 99/99/999121,074$27,605dollars as filed
TENON MEDICAL INC88066N105COM97,500$26,832dollars as filed
SPLASH BEVERAGE GROUP INC84862C112*W EXP 06/15/202198,666$26,804dollars as filed
BT BRANDS INC0557MQ115*W EXP 11/12/202137,708$25,545dollars as filed
HEARTBEAM INC42238H116*W EXP 10/31/20262,838$25,135dollars as filed
WEARABLE DEVICES LTDM97838110*W EXP 09/14/202125,500$25,100dollars as filed
LITHIA MTRS INC COM92561V117COM112,000$24,640dollars as filed
SkyAI Inc82003F119*W EXP 4/13/202164,882$22,820dollars as filed
SNAIL INC83301J100CLASS A COM13,000$20,667dollars as filed
NEXALIN TECHNOLOGY INC65345B110*W EXP 99/99/999166,483$18,313dollars as filed
WTS/LION ELECTRIC EXP12/13/2027536221120WARR39,298$18,281dollars as filed
VOLCON INC92864V103COM32,000$18,230dollars as filed
MARIS TECH LTDM68057112*W EXP 02/04/202223,596$15,652dollars as filed
NEUROSENSE THERAPEUTICS LTDM74240116*W EXP 11/10/20277,709$15,390dollars as filed
BIGBEAR AI HLDGS INC08975B117*W EXP 12/08/20266,700$15,341dollars as filed
NETCAPITAL INC64113L111*W EXP 07/12/202148,578$15,341dollars as filed
NOGIN INC65528N204COM NEW11,500$15,065dollars as filed
STRAN & COMPANY INC86260J110*W EXP 99/99/999181,824$13,682dollars as filed
SEASTAR MEDICAL HOLDING CORP81256L112WTS366,010$13,359dollars as filed
PAGAYA TECHNOLOGIES LTDM7S64L107WTS49,680$12,917dollars as filed
G MED INNOVATIONS HLDGS LTDG39462141COM33,000$12,553dollars as filed
CEA INDUSTRIES INC86887P119*W EXP 02/11/202230,836$12,177dollars as filed
IVEDA SOLUTIONS INC46583A113*W EXP 04/01/20249,413$10,710dollars as filed
DATA STORAGE CORP23786R110*W EXP 05/18/20257,764$10,392dollars as filed
GLUCOTRACK INC COM NEW45824Q507Stock30,000$10,353dollars as filed
Aurora Innovation Inc W Exp 11/03/202051774115SPAC Combination20,000$10,000dollars as filed
BOA ACQUISITION CORPg8059b119WT209,776$9,545dollars as filed
ZURA BIO LTDG9TY5A119YW EXP 99/99/99925,818$9,036dollars as filed
MICROCLOUD HOLOGRAM INCG55032125*W EXP 01/31/20275,775$9,002dollars as filed
WHOLE EARTH BRANDS INC96684W126WARRANT44,902$8,985dollars as filed
BIOAFFINITY TECHNOLOGIES INC09076W117*W EXP 09/07/20224,626$8,902dollars as filed
AINOS INC00902F113*W EXP 07/29/20230,295$8,695dollars as filed
COMERA LIFE SCIENCES HLDGS I20037C116*W EXP 03/15/202300,000$8,160dollars as filed
Semantix, IncG6332A114Warrant102,119$7,787dollars as filed
SOLIGENIX INC834223505COM NEW10,000$7,038dollars as filed
Cingulate Inc W Exp 12/10/20217248W113Warrant30,555$6,417dollars as filed
ALLEGO N VN0796A118WTS21,800$6,322dollars as filed
PASITHEA THERAPEUTICS CORP70261F111*W EXP 08/12/202289,968$6,234dollars as filed
PROTAGENIC THERAPEUTICS INC74365N111*W EXP 04/26/202177,196$5,936dollars as filed
ENERGEM CORPG30449121*W EXP 11/15/20290,000$5,922dollars as filed
Beneficient W Exp 06/07/20208178Q119SPAC Combination110,000$5,225dollars as filed
Bridger Aerospace Grp Hldgs W Exp 01/24/20296812F110SPAC Combination25,200$5,141dollars as filed
MEDICENNA THERAPEUTICS F58490H107FOREIGN CANADIAN10,000$4,817dollars as filed
HUB CYBER SECURITY LTDM6000J101ORD SHS10,000$4,731dollars as filed
INFINTT ACQUISITION CORPg47862126WT90,100$4,703dollars as filed
SEQLL INC81734C114*W EXP 08/31/20256,000$4,396dollars as filed
NEXGEL INC65344E115*W EXP 12/27/20210,000$4,350dollars as filed
ACCRETION ACQUISITION CORP00438Y115*W EXP 03/01/20287,348$4,088dollars as filed
FAT PROJECTS ACQUISITION CORG3400W110*W EXP 08/31/20285,000$4,038dollars as filed
Arogo Capital Acquisition Corp042644112Warrant90,000$3,924dollars as filed
HUB CYBER SECURITY LTDM6000J127WTS100,000$3,910dollars as filed
INCEPTION GR -23 EQUITY45333D112COM90,000$3,708dollars as filed
LIXTE BIOTECHNOLOGY HLDGS IN539319111*W EXP 11/30/20253,181$3,707dollars as filed
BANNIX ACQUISITION CORP066644113*W EXP 07/31/20285,700$3,428dollars as filed
ACLARION INC655187110*W EXP 04/21/20242,957$3,317dollars as filed
AMERICAN REBEL HOLDINGS INC02919L117*W EXP 01/20/202112,721$2,773dollars as filed
GORILLA TECHNOLOGY GROUP INCG4000K118*W EXP 99/99/99920,000$2,700dollars as filed
PINSTRIPES HOLDINGS INC06690B115*W EXP 09/30/20212,200$2,684dollars as filed
RAIL VISION LTDM8186D114*W EXP 03/27/20252,192$2,599dollars as filed
CANOO INC13803R110*W EXP 12/21/20227,000$2,457dollars as filed
AGRIFORCE GROWING SYSTEMS LTC00948114*W EXP 07/12/20257,628$2,233dollars as filed
NORTHVIEW ACQUISITION CORP66718N111*W EXP 08/02/20277,770$2,228dollars as filed
AESTHER HC -CW23 EQUITY67644C112COM10,000$2,125dollars as filed
CANNA-GLOBAL ACQUISITION CORP13767k119WT90,100$2,099dollars as filed
VERSUS SYSTEMS INC92535P147*W EXP 01/20/202105,470$2,051dollars as filed
HARBOR CUSTOM DEVELOPMENT IN41150T124*W EXP 10/07/202165,000$1,716dollars as filed
SPREE ACQUISITION 1 CORP LTDg83745128WT47,154$1,504dollars as filed
Oak Woods Acquisition Corp67190B112Warrant45,200$1,464dollars as filed
T2 BIOSYSTEMS INC89853L203COM NEW20,000$1,412dollars as filed
Anghami Inc W Exp 02/03/202G0369L119SPAC Combination40,409$1,400dollars as filed
BRUUSH ORAL CARE INC11750K120*W EXP 08/03/20215,000$1,200dollars as filed
BUZZFEED INC12430A110*W EXP 12/03/20219,778$1,187dollars as filed
SMX SEC MATTERS PLCG8267K117*W EXP 03/07/20253,261$1,172dollars as filed
KAIROUS ACQUISITION CORP LTDG52131128*W EXP 09/15/20280,677$1,134dollars as filed
EDIBLE GARDEN AG INC28059P113*W EXP 99/99/99952,661$990dollars as filed
MOBIQUITY TECHNOLOGIES INC60743F128*W EXP 12/03/20238,468$981dollars as filed
FG MERGER CORP30324Y119*W EXP 06/17/20216,502$962dollars as filed
DUNE ACQUISITION CORP265334110*W EXP 10/29/20219,500$825dollars as filed
WTS/CLEVER LEAVES HOLDINGS INC 11.5000EXP12/31/2025186760112WARR22,705$749dollars as filed
DERMATA THERAPEUTICS INC249845116*W EXP 99/99/99930,000$575dollars as filed
Thunder Power Holdings Inc31561T110Warrant20,796$572dollars as filed
Embrace Change Acquisition CorpG3034H125Warrant12,500$234dollars as filed
SHAPEWAYS HOLDINGS INC 11.5000EXP10/31/202681947T110WARR14,668$148dollars as filed

Amendment chain

FilingRoleFiledAcceptedIngested
13F-HR 0001597506-23-000003this filing2023-08-09acceptance time not in the bulk data set