Skip to content

13F-HR filed by Warberg Asset Management LLC

Warberg Asset Management LLC filed this 13F-HR for the quarter ended 2023-09-30, filed 2023-11-13, with 244 holding rows worth $495,644,732.

Accession
0001597506-23-000004
Filed
2023-11-13
Accepted by EDGAR
acceptance time not in the bulk data set
Ingested
Source
SEC quarterly data set

Original filing

13F report for Q3 2023

A holdings report, 244 entries on the cover page, a total value of $495,644,732 stated on the cover page (in dollars after the unit check, H1), rows summing to $495,644,732 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 TR78462F953PUT335,000$143,205,800dollars as filedput
OCCIDENTAL PETE CORP WT EXP 080327674599162Stock1,046,696$45,009,259dollars as filed
ON SEMICONDUCTOR CORP682189AP0NOTE 1.625%10/19,849,000$44,208,553dollars as filedprincipal
KBR INC48242WAB2BOND15,790,000$37,263,880dollars as filedprincipal
PALO ALTO NETWORKS INC697435AF2NOTE 0.375% 6/05,356,000$12,626,894dollars as filedprincipal
EQT CORP26884LAK5NOTE 1.750% 5/04,515,000$12,564,587dollars as filedprincipal
VMWARE, INC.928563402CL A COM69,485$11,567,863dollars as filed
RH74967XAD5CV7,302,000$9,624,090dollars as filedprincipal
PIONEER NAT RES CO723787AP2NOTE 0.250% 5/13,759,000$9,277,415dollars as filedprincipal
ALTAIR ENGR INC021369AA1BOND6,700,000$9,061,907dollars as filedprincipal
CONMED CORP207410AF8BOND7,476,000$8,683,894dollars as filedprincipal
INVESCO QQQ TR46090E953PUT23,000$8,240,210dollars as filedput
INTERDIGITAL INC45867GAB7BOND6,200,000$6,630,666dollars as filedprincipal
VERADIGM INC01988PAF5BOND5,500,000$6,228,650dollars as filedprincipal
BOOKING HOLDINGS INC09857LAN8NOTE 0.750% 5/03,527,000$5,901,325dollars as filedprincipal
ETSY INC29786AAJ5NOTE 0.125%10/05,323,000$5,422,172dollars as filedprincipal
ATI INC01741RAK8BOND2,000,000$5,384,521dollars as filedprincipal
PARSONS CORP DEL70202LAB8BOND4,096,000$5,214,239dollars as filedprincipal
SPY78462F103SHS12,000$5,128,680dollars as filed
REPLIGEN CORP759916AB5BOND3,432,000$4,909,944dollars as filedprincipal
APPLE INC037833950PUT28,000$4,793,880dollars as filedput
HUBSPOT INC443573AD2NOTE 0.375% 6/02,574,000$4,591,475dollars as filedprincipal
BOX INC10316TAB0NOTE 1/13,786,000$4,096,610dollars as filedprincipal
SEA LTD81141RAD2NOTE 1.000%12/03,500,000$3,896,988dollars as filedprincipal
AKAMAI TECHNOLOGIES INC00971TAJ0NOTE 0.125% 5/03,273,000$3,866,499dollars as filedprincipal
WORKIVA INC98139AAB1NOTE 1.125% 8/12,777,000$3,818,879dollars as filedprincipal
HERTZ GLOBAL HLDGS INC42806J148*W EXP 06/30/205613,408$3,754,057dollars as filed
PROGRESS SOFTWARE CORP743312AB6NOTE 1.000% 4/13,123,000$3,225,937dollars as filedprincipal
MICROCHIP TECHNOLOGY INC.595017AF1NOTE 1.625% 2/11,300,000$2,870,810dollars as filedprincipal
MIDDLEBY CORP596278AB7NOTE 1.000% 9/02,438,000$2,733,365dollars as filedprincipal
NICE SYS INC65366HAB9BOND1,060,000$2,453,000dollars as filedprincipal
IShares S&P 500 Index Fund464287952ETF25,000$2,217,250dollars as filedput
FORD MTR CO345370CZ1NOTE 3/12,145,000$2,113,116dollars as filedprincipal
ENPHASE ENERGY INC29355AAF4BOND1,338,000$2,097,030dollars as filedprincipal
NOBLE CORP PLCG65431135*W EXP 02/04/20259,490$1,894,136dollars as filed
NEUROCRINE BIOSCIENCES INC64125CAD1NOTE 2.250% 5/11,271,000$1,885,846dollars as filedprincipal
NVIDIA CORPORATION67066G954PUT4,000$1,739,960dollars as filedput
EXPAND ENERGY CORPORATION165167180*W EXP 02/09/20224,688$1,719,272dollars as filed
DOLLAR GEN CORP256677905CALL16,000$1,692,800dollars as filedcall
ZSCALER INC98980GAB8NOTE 0.125% 7/01,393,000$1,676,769dollars as filedprincipal
MODERNA INC60770K957PUT14,000$1,446,060dollars as filedput
VANECK ETF TRUST92189F906CALL52,300$1,407,393dollars as filedcall
NOBLE CORP PLCG65431150WTS49,063$1,373,764dollars as filed
FISKER INC33813J956PUT204,300$1,311,606dollars as filedput
SURGEPAYS INC86882L113*W EXP 10/22/2021,164,850$1,287,768dollars as filed
SALESFORCE INC79466L952PUT6,000$1,216,680dollars as filedput
ISHARES TR46428743220 YR TR BD ETF12,500$1,108,875dollars as filed
Apple Inc037833100COM5,500$941,655dollars as filed
FORD MTR CO345370900CALL75,000$931,500dollars as filedcall
SPDR SERIES TRUST78464A958PUT22,000$918,940dollars as filedput
SAREPTA THERAPEUTICS INC803607AB6DBCV 1.500%11/1517,000$911,580dollars as filedprincipal
BANK HAWAII CORP062540959PUT18,000$894,420dollars as filedput
EPR PPTYS26884U208PFD C CV 5.75%46,425$873,486dollars as filed
BLOOMIN BRANDS INC094235AB4NOTE 5.000% 5/0393,000$869,680dollars as filedprincipal
NEW ENGLAND RLTY ASSOC LTD P644206104DEPOSITRY RCPT12,150$828,730dollars as filed
MONTEREY CAP ACQUISITION COR61244M109CLASS A COM75,052$798,553dollars as filed
ATLANTIC COASTAL ACQUISTN CO048453104CLASS A COM76,402$798,401dollars as filed
EXPAND ENERGY CORPORATION165167164*W EXP 02/09/20210,144$784,080dollars as filed
RIVIAN AUTOMOTIVE INC76954A903COM CL A32,000$776,960dollars as filedcall
EXCELFIN ACQUISITION CORP30069X102COM CL A72,617$772,645dollars as filed
EON RESOURCES INC40472A102COM CL A70,068$759,537dollars as filed
WESTERN ALLIANCE BANCORP957638959COM15,800$726,326dollars as filedput
ATLANTIC COASTAL AQSTN CORP04845A108COM68,317$722,794dollars as filed
BROAD CAPITAL ACQUISITION CO11125B102COM65,103$716,133dollars as filed
ISHARES SILVER TR46428Q909CALL35,000$711,900dollars as filedcall
99 ACQUISITION GROUP INC65445K200UNIT 99/99/999968,300$707,588dollars as filed
Oak Woods Acquisition Corp67190B104Equity65,000$679,575dollars as filed
ACRI CAPITAL ACQUISITION COR00501A101COM CL A55,096$603,577dollars as filed
ISHARES TR46432F956Option4,000$558,800dollars as filedput
RBC BEARINGS INC75524B203CONV5,000$552,275dollars as filed
GLOBAL STAR ACQUISITION-CL A37962G102COM48,562$516,700dollars as filed
PHP Ventures Acquisition Corp69291C106COM45,666$499,586dollars as filed
SIRIUSPOINT LTDG8192H106COM48,755$495,838dollars as filed
SIRIUSPOINT LTDG8192H956COM48,700$495,279dollars as filedput
COMPOSECURE INC20459V113*W EXP 12/27/202740,622$481,404dollars as filed
KEEN VISION ACQUISITION CORPG52443119SHS46,000$467,820dollars as filed
NVIDIA CORPORATION67066G904CALL1,000$434,990dollars as filedcall
QOMOLANGMA ACQUISITION CORP74738V105COM37,871$402,190dollars as filed
EVEREST CONSOLIDATOR ACQ COR29978K102COM37,045$400,827dollars as filed
BARCLAYS BANK PLC06748F904COM17,000$396,440dollars as filedcall
ZALATORIS ACQUISITION CORP89301B104COM CL A36,602$385,785dollars as filed
ESH ACQUISITION CORP296424104COM CL A37,604$380,552dollars as filed
FORD MTR CO345370950PUT30,000$372,600dollars as filedput
DATADOG INC23804LAB9NOTE 0.125% 6/1308,000$362,781dollars as filedprincipal
EXPAND ENERGY CORPORATION165167172*W EXP 02/09/2024,743$348,207dollars as filed
AQUARON ACQUISITION CORP03842W105COMMON STOCK32,253$340,914dollars as filed
INCEPTION GROWTH ACQUSTN LTD45333D104COM30,428$323,145dollars as filed
MODERNA INC60770K107COM3,000$309,930dollars as filed
TARGET HOSPITALITY CORP87615L115*W EXP 03/15/20260,325$308,261dollars as filed
REDWOODS ACQUISITION CORP758083109COM28,519$304,440dollars as filed
CETUS CAP ACQUISITION CORP15719Y105CLASS A COM27,137$283,853dollars as filed
ALPHA STAR ACQUISITION CORPG0230C108ORDINARY SHARES24,828$272,487dollars as filed
PONO CAP THREE INCG71704103ORD SHS CL A25,300$266,915dollars as filed
AP ACQUISITION CORPG04058106CL A ORD SHS23,027$252,952dollars as filed
TRAILBLAZER MERGER CORP I89278D109CL A22,877$236,319dollars as filed
UNITED STS NAT GAS FD LP912318900COM34,000$232,220dollars as filedcall
CANTALOUPE INC138103906CALL34,900$218,125dollars as filedcall
DIRECT DIGITAL HOLDINGS INC25461T113*W EXP 02/15/202180,377$216,452dollars as filed
SPDR SERIES TRUST78464A698ST STR SP REGBNK5,000$208,800dollars as filed
RENEW ENERGY GLOBAL PLCG7500M120WTS278,328$208,746dollars as filed
GOLDENSTONE ACQUISITION LTD COM38136Y102Rights19,090$204,645dollars as filed
ON SEMICONDUCTOR CORP682189AS4NOTE 5/0111,000$200,131dollars as filedprincipal
SOUTHWESTERN ENERGY CO845467909COM30,000$193,500dollars as filedcall
RF ACQUISITION CORP74954L104COM18,006$191,764dollars as filed
REVELSTONE CAPITAL ACQSTN CO76137R106CLASS A COM18,007$191,414dollars as filed
VISION SENSING ACQUISITION C92838J103COM17,429$190,150dollars as filed
PAPAYA GRWT OPPORTUNITY CORP69882P102COM15,287$163,800dollars as filed
FOUR LEAF ACQUISITION CORP35088F107COM CL A15,152$158,944dollars as filed
CANTALOUPE INC138103956PUT24,600$153,750dollars as filedput
BUKIT JALIL GBL ACQUISITION ORD SHSG1676M105Warrant13,740$141,934dollars as filed
KWESST MICRO SYSTEMS INC501506604COM NEW90,000$139,500dollars as filed
STRATASYS LTDM85548951SHS10,000$136,100dollars as filedput
NEOVOLTA INC640655114*W EXP 04/01/202207,627$130,805dollars as filed
AMPRIUS TECHNOLOGIES INC03214Q116*W EXP 09/14/202439,138$130,041dollars as filed
LIVENT CORP53814LAB4BOND55,000$119,404dollars as filedprincipal
FISKER INC33813J106CL A COM STK18,000$116,010dollars as filed
ISRAEL ACQUISITIONS CORPG49667101CLASS A ORD10,850$114,522dollars as filed
AKAMAI TECHNOLOGIES INC00971TAL5NOTE 0.375% 9/0106,000$110,735dollars as filedprincipal
BOWEN ACQUISITION CORPG12729110SHS10,000$102,000dollars as filed
PODCASTONE INC22275C105COM42,252$80,834dollars as filed
DIRECT DIGITAL HOLDINGS INC25461T105CLASS A COM29,867$76,460dollars as filed
PETVIVO HLDGS INC716817119*W EXP 08/13/202224,501$74,085dollars as filed
JOBY AVIATION INCG65163118*W EXP 08/10/20258,400$72,416dollars as filed
OPTIMUMBANK HLDGS INC68401P403COM20,500$65,204dollars as filed
TALKSPACE INC87427V111*W EXP 06/21/202534,441$63,752dollars as filed
APPTECH PMTS CORP03834B127*W EXP 01/04/20283,029$61,441dollars as filed
PYXIS TANKERS INCY71726122*W EXP 10/13/20256,828$57,939dollars as filed
AZITRA INC05479L104COM35,000$52,500dollars as filed
ALLIANCE ENTERTAINMENT HOLDI01861F102COM CLASS A47,000$52,170dollars as filed
FUNDAMENTAL GLOBAL INC30329Y106COMMON37,146$52,004dollars as filed
SkyAI Inc82003F119*W EXP 4/13/202492,755$51,986dollars as filed
TINGO GROUP INC55328R959COM50,000$51,250dollars as filedput
KWESST MICRO SYSTEMS INC501506133*W EXP 09/01/202192,529$46,014dollars as filed
ZIVO BIOSCIENCE INC98978N119*W EXP 06/02/202100,975$45,237dollars as filed
MIRION TECHNOLOGIES INC60471A119*W EXP 10/20/20230,096$40,630dollars as filed
Bullfrog AI Holdings Inc12021E117Warrant66,718$37,809dollars as filed
ASCENT SOLAR TECHNOLOGIES IN043635705COM NEW20,000$35,800dollars as filed
NEXTPLAT CORP68557F118*W EXP 06/02/20261,609$35,567dollars as filed
CLEARMIND MEDICINE INC185053204COM NEW220,000$35,200dollars as filed
FOREMOST CLEAN ENERGY LTD345510119*W EXP 08/24/20256,136$33,126dollars as filed
BIOSIG TECHNOLOGIES INC09073N201COM NEW63,856$31,449dollars as filed
STRONG GLOBAL ENTMT INC86335G109CL A COM VOTING14,561$30,578dollars as filed
UPEXI INC39959A106COMMON17,199$29,754dollars as filed
TENON MEDICAL INC88066N113*W EXP 06/16/202664,292$27,103dollars as filed
SAVERONE 2014 LTD80516T113*W EXP 06/02/202198,769$26,963dollars as filed
BLOCK INC852234AF0NOTE 0.125% 3/028,000$26,003dollars as filedprincipal
ONFOLIO HOLDINGS INC68277K124*W EXP 01/02/202193,785$25,851dollars as filed
EDIBLE GARDEN AG INC28059P204COM34,486$25,651dollars as filed
VISHAY INTERTECHNOLOGY INC928298AP3NOTE 2.250% 6/124,000$24,083dollars as filedprincipal
BRANCHOUT FOOD INC105230106COM10,369$21,775dollars as filed
BT BRANDS INC0557MQ115*W EXP 11/12/202136,459$20,476dollars as filed
TERRAN ORBITAL CORPORATION88105P103COM24,250$20,125dollars as filed
FGI INDUSTRIES LTDG3302D111*W EXP 99/99/999121,152$20,008dollars as filed
ESPERION THERAPEUTICS INC NE29664W905COM20,000$19,600dollars as filedcall
WORKSPORT LTD98139Q118*W EXP 08/06/20278,291$19,565dollars as filed
Apollomics Inc W Exp 04/01/202G0411D115SPAC Combination390,208$19,498dollars as filed
P3 HEALTH PARTNERS INC744413105COM CL A12,000$17,640dollars as filed
CINEVERSE CORP172406308COM CL A14,952$17,492dollars as filed
NAVIDEA BIOPHARMACEUTICALS INC63937x202COM194,997$17,491dollars as filed
SPLASH BEVERAGE GROUP INC84862C112*W EXP 06/15/202170,733$17,073dollars as filed
ASP ISOTOPES INC00218A105COM17,000$16,150dollars as filed
KNOW LABS INC499238103COM NEW60,000$15,006dollars as filed
WEARABLE DEVICES LTDM97838110*W EXP 09/14/202125,500$14,897dollars as filed
NXU INC62956D105COM69,500$13,740dollars as filed
YIELD10 BIOSCIENCE INC98585K862COM40,994$13,393dollars as filed
MOBILICOM LTD60742B110*W EXP 08/31/20290,000$12,947dollars as filed
ESPERION THERAPEUTICS INC NEW COM29664W105Stock13,000$12,796dollars as filed
INUVO INC46122W204COM NEW54,595$11,683dollars as filed
HEARTBEAM INC42238H116*W EXP 10/31/20258,346$11,669dollars as filed
NEUROSENSE THERAPEUTICS LTDM74240116*W EXP 11/10/20276,109$11,040dollars as filed
WTS/LION ELECTRIC EXP12/13/2027536221120WARR21,000$10,952dollars as filed
IVEDA SOLUTIONS INC46583A113*W EXP 04/01/20249,413$10,821dollars as filed
STRAN & COMPANY INC86260J110*W EXP 99/99/999181,824$10,637dollars as filed
60 DEGREES PHARMACEUTICALS I83006G112*W EXP 07/12/20229,515$10,330dollars as filed
PAGAYA TECHNOLOGIES LTDM7S64L107WTS30,000$10,140dollars as filed
VBI VACCINES INC91822J202Foreign Stock15,000$9,993dollars as filed
AINOS INC00902F113*W EXP 07/29/20230,295$9,909dollars as filed
INCEPTION GR -23 EQUITY45333D112COM89,900$8,990dollars as filed
BIO-PATH HLDGS INC09057N300COM24,000$8,880dollars as filed
ZURA BIO LTDG9TY5A119YW EXP 99/99/99925,818$8,778dollars as filed
MARIS TECH LTDM68057112*W EXP 02/04/202199,900$8,776dollars as filed
LITHIA MTRS INC COM92561V117COM112,000$8,590dollars as filed
NETCAPITAL INC64113L103COM20,000$8,200dollars as filed
CF ACQUISITION CORP VIII12520C117*W EXP 03/31/20232,401$8,100dollars as filed
AEON BIOPHARMA INC00791X118*W EXP 07/21/20253,500$8,025dollars as filed
GLUCOTRACK INC COM NEW45824Q507Stock30,000$7,875dollars as filed
CEA INDUSTRIES INC86887P119*W EXP 02/11/202207,084$7,621dollars as filed
NETCAPITAL INC64113L111*W EXP 07/12/202145,287$7,417dollars as filed
Bridger Aerospace Grp Hldgs W Exp 01/24/20296812F110SPAC Combination25,200$7,308dollars as filed
THARIMMUNE INC432705101COM36,000$7,200dollars as filed
WHOLE EARTH BRANDS INC96684W126WARRANT58,874$7,065dollars as filed
COMERA LIFE SCIENCES HLDGS I20037C116*W EXP 03/15/202300,000$6,510dollars as filed
Aurora Innovation Inc W Exp 11/03/202051774115SPAC Combination20,000$6,400dollars as filed
NOGIN INC65528N204COM NEW11,500$6,107dollars as filed
MEDICENNA THERAPEUTICS F58490H107FOREIGN CANADIAN20,000$5,898dollars as filed
PALISADE BIO INC696389204COM10,000$5,820dollars as filed
SOLIGENIX INC834223505COM NEW10,000$5,575dollars as filed
PROTAGENIC THERAPEUTICS INC74365N111*W EXP 04/26/202177,196$5,316dollars as filed
TRANSCODE THERAPEUTICS INC89357L204COM NEW10,000$5,027dollars as filed
Semantix, IncG6332A114Warrant102,119$4,763dollars as filed
Arogo Capital Acquisition Corp042644112Warrant90,000$4,518dollars as filed
SEASTAR MEDICAL HOLDING CORP81256L112WTS316,872$4,468dollars as filed
NEXALIN TECHNOLOGY INC65345B110*W EXP 99/99/999177,383$4,435dollars as filed
CERBERUS CYBER SENTINEL CORP15672X102COM31,117$4,356dollars as filed
SEASTAR MEDICAL HOLDING CORP81256L104COMMON16,500$4,336dollars as filed
ENERGEM CORPG30449121*W EXP 11/15/20290,000$4,275dollars as filed
Beneficient W Exp 06/07/20208178Q119SPAC Combination110,000$4,235dollars as filed
KULR TECHNOLOGY GROUP INC50125G109COM11,500$4,127dollars as filed
Cingulate Inc W Exp 12/10/20217248W113Warrant23,905$3,944dollars as filed
PASITHEA THERAPEUTICS CORP70261F111*W EXP 08/12/202289,868$3,799dollars as filed
INFINTT ACQUISITION CORPg47862126WT90,100$3,392dollars as filed
ACLARION INC655187110*W EXP 04/21/20242,957$3,222dollars as filed
NEXGEL INC65344E115*W EXP 12/27/20210,000$3,050dollars as filed
BOA ACQUISITION CORPg8059b119WT217,025$2,950dollars as filed
FAT PROJECTS ACQUISITION CORG3400W110*W EXP 08/31/20285,000$2,911dollars as filed
NORTHVIEW ACQUISITION CORP66718N111*W EXP 08/02/20277,770$2,877dollars as filed
LIXTE BIOTECHNOLOGY HLDGS IN539319111*W EXP 11/30/20240,875$2,575dollars as filed
DUNE ACQUISITION CORP265334110*W EXP 10/29/20236,300$2,541dollars as filed
HUB CYBER SECURITY LTDM6000J101ORD SHS10,000$2,340dollars as filed
PINSTRIPES HOLDINGS INC06690B115*W EXP 09/30/20212,200$2,214dollars as filed
MICROCLOUD HOLOGRAM INCG55032125*W EXP 01/31/20255,000$2,206dollars as filed
BANNIX ACQUISITION CORP066644113*W EXP 07/31/20285,700$2,143dollars as filed
BIOAFFINITY TECHNOLOGIES INC09076W117*W EXP 09/07/20222,926$2,091dollars as filed
ACCRETION ACQUISITION CORP00438Y115*W EXP 03/01/20287,348$1,974dollars as filed
RAIL VISION LTDM8186D114*W EXP 03/27/20250,000$1,750dollars as filed
CANNA-GLOBAL ACQUISITION CORP13767k119WT90,100$1,586dollars as filed
KAIROUS ACQUISITION CORP LTDG52131128*W EXP 09/15/20278,977$1,580dollars as filed
AESTHER HC -CW23 EQUITY67644C112COM10,000$1,514dollars as filed
SEQLL INC81734C114*W EXP 08/31/20256,000$1,406dollars as filed
CUSTOM TRUCK ONE SOURCE INC23204X111WARRANT15,000$1,199dollars as filed
Anghami Inc W Exp 02/03/202G0369L119SPAC Combination40,409$1,192dollars as filed
Keen Vision Acquisition Corp W Exp 03/15/202G52443127SPACS Warrant20,500$1,128dollars as filed
HUB CYBER SECURITY LTDM6000J127WTS100,000$1,050dollars as filed
BUZZFEED INC12430A110*W EXP 12/03/20219,778$979dollars as filed
SPREE ACQUISITION 1 CORP LTDg83745128WT23,576$885dollars as filed
EDIBLE GARDEN AG INC28059P113*W EXP 99/99/99930,426$767dollars as filed
SMX SEC MATTERS PLCG8267K117*W EXP 03/07/20253,261$607dollars as filed
AGRIFORCE GROWING SYSTEMS LTC00948114*W EXP 07/12/20228,879$575dollars as filed
HARBOR CUSTOM DEVELOPMENT IN41150T124*W EXP 10/07/20255,000$545dollars as filed
DERMATA THERAPEUTICS INC249845116*W EXP 99/99/99930,000$525dollars as filed
Thunder Power Holdings Inc31561T110Warrant20,796$468dollars as filed
Alpha Star Acquisition CorpG0230C116WARRANT40,000$400dollars as filed
Embrace Change Acquisition CorpG3034H125Warrant12,500$313dollars as filed
MOBIQUITY TECHNOLOGIES INC60743F128*W EXP 12/03/20233,057$122dollars as filed

Amendment chain

FilingRoleFiledAcceptedIngested
13F-HR 0001597506-23-000004this filing2023-11-13acceptance time not in the bulk data set