Skip to content
Disclosery

13F-HR filed by Warberg Asset Management LLC

Warberg Asset Management LLC filed this 13F-HR for the quarter ended 2024-03-31, filed 2024-05-06, with 213 holding rows worth $696,539,447.

Accession
0001597506-24-000005
Filer
CIK 1597506
Filed
2024-05-06
Accepted by EDGAR
acceptance time not in the bulk data set
Ingested
Source
SEC quarterly data set

Original filing

13F report for Q1 2024

A holdings report, 213 entries on the cover page, a total value of $696,539,447 stated on the cover page (in dollars after the unit check, H1), rows summing to $696,539,447 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 TR78462F953PUT430,000$224,920,100dollars as filedput
PALO ALTO NETWORKS INC697435AF2NOTE 0.375% 6/018,973,000$54,426,332dollars as filedprincipal
OCCIDENTAL PETE CORP WT EXP 080327674599162Stock1,019,149$43,925,322dollars as filed
INVESCO QQQ TR46090E953PUT58,800$26,107,788dollars as filedput
MICROCHIP TECHNOLOGY INC.595017AF1NOTE 1.625% 2/18,239,000$21,197,754dollars as filedprincipal
UNITED STATES STL CORP912909AT5NOTE 5.000%11/06,558,000$20,046,084dollars as filedprincipal
MICROSTRATEGY INC594972AC5NOTE 0.750%12/14,588,000$19,628,063dollars as filedprincipal
PARSONS CORP DEL70202LAB8BOND9,148,000$16,856,685dollars as filedprincipal
BLOOMIN BRANDS INC094235AB4NOTE 5.000% 5/06,289,000$16,303,766dollars as filedprincipal
BOOKING HOLDINGS INC09857LAN8NOTE 0.750% 5/08,002,000$15,457,850dollars as filedprincipal
CHART INDS INC16115QAE0NOTE 1.000%11/15,110,000$14,377,533dollars as filedprincipal
ALTAIR ENGR INC021369AA1BOND7,173,000$13,263,686dollars as filedprincipal
NRG ENERGY INC629377CG5DBCV 2.750% 6/07,640,000$12,664,892dollars as filedprincipal
REPLIGEN CORP759916AB5BOND7,819,000$12,411,515dollars as filedprincipal
INTERDIGITAL INC45867GAB7BOND9,278,000$12,078,796dollars as filedprincipal
RH74967XAD5CV6,000,000$9,918,750dollars as filedprincipal
AXON ENTERPRISE INC05464CAB7NOTE 0.500%12/16,500,000$9,451,446dollars as filedprincipal
AKAMAI TECHNOLOGIES INC00971TAJ0NOTE 0.125% 5/07,765,000$9,173,841dollars as filedprincipal
NCL CORP LTD62886HAT8NOTE 6.000% 5/16,000,000$9,171,990dollars as filedprincipal
GUESS INC401617AD7BOND7,067,000$7,884,601dollars as filedprincipal
MONGODB INC60937PAD8NOTE 0.250% 1/14,266,000$7,472,155dollars as filedprincipal
PIONEER NAT RES CO723787AP2NOTE 0.250% 5/12,460,000$6,989,966dollars as filedprincipal
ATI INC01741RAK8BOND1,991,000$6,621,902dollars as filedprincipal
PROGRESS SOFTWARE CORP743312AB6NOTE 1.000% 4/15,518,000$5,724,897dollars as filedprincipal
INTERDIGITAL INC45867GAD3NOTE 3.500% 6/03,923,000$5,648,507dollars as filedprincipal
BOX INC10316TAB0NOTE 1/13,801,000$4,567,358dollars as filedprincipal
ETSY INC29786AAJ5NOTE 0.125%10/04,002,000$4,238,021dollars as filedprincipal
SEA LTD81141RAD2NOTE 1.000%12/03,500,000$4,237,188dollars as filedprincipal
LIVENT CORP53814LAB4BOND3,000,000$3,993,750dollars as filedprincipal
ON SEMICONDUCTOR CORP682189AS4NOTE 5/02,544,000$3,741,588dollars as filedprincipal
CYTOKINETICS INC23282WAC4NOTE 3.500% 7/02,313,000$3,669,852dollars as filedprincipal
WORKIVA INC98139AAB1NOTE 1.125% 8/12,745,000$3,327,311dollars as filedprincipal
IShares S&P 500 Index Fund464287952ETF33,000$3,122,460dollars as filedput
FEDEX CORP31428X956COM10,000$2,897,400dollars as filedput
Granite Construction Inc387328AB3CV1,484,000$2,685,183dollars as filedprincipal
APPLE INC037833950PUT15,000$2,572,200dollars as filedput
EXPAND ENERGY CORPORATION165167180*W EXP 02/09/20230,128$2,209,889dollars as filed
JAZZ INVESTMENTS I LTD472145AF8NOTE 2.000% 6/12,000,000$1,986,520dollars as filedprincipal
MIDDLEBY CORP596278AB7NOTE 1.000% 9/01,500,000$1,972,016dollars as filedprincipal
NOBLE CORP PLCG65431135*W EXP 02/04/20264,026$1,899,651dollars as filed
SAREPTA THERAPEUTICS INC803607AB6DBCV 1.500%11/11,005,000$1,799,264dollars as filedprincipal
STEREOTAXIS INC85916J409COMMON STOCK665,688$1,737,446dollars as filed
VANECK ETF TRUST92189F906CALL52,000$1,644,240dollars as filedcall
NOBLE CORP PLCG65431150WTS63,461$1,611,909dollars as filed
HERTZ GLOBAL HLDGS INC42806J148*W EXP 06/30/205318,430$1,413,829dollars as filed
JPMORGAN CHASE & CO46625H900CALL7,000$1,402,100dollars as filedcall
RBC BEARINGS INC75524B203CONV11,000$1,342,990dollars as filed
Goldman Sachs Access Treasury 0-1 Year ETF381430529SHS12,891$1,290,711dollars as filed
EXPAND ENERGY CORPORATION165167172*W EXP 02/09/20215,922$1,218,192dollars as filed
EXXON MOBIL CORP30231G902CALL10,000$1,162,400dollars as filedcall
NEW ENGLAND RLTY ASSOC LTD P644206104DEPOSITRY RCPT15,979$1,136,970dollars as filed
COINBASE GLOBAL INC19260Q957PUT4,000$1,060,480dollars as filedput
EPR PPTYS26884U208PFD C CV 5.75%54,774$1,057,138dollars as filed
TESLA INC88160R951PUT5,000$878,950dollars as filedput
EXPAND ENERGY CORPORATION165167164*W EXP 02/09/20210,513$863,853dollars as filed
CLIMATEROCKG2311X100CLASS A ORD75,427$846,291dollars as filed
EQUINIX INC29444U950COM1,000$825,330dollars as filedput
ACRI CAPITAL ACQUISITION COR00501A101COM CL A73,498$822,443dollars as filed
AQUARON ACQUISITION CORP03842W105COMMON STOCK75,713$820,350dollars as filed
FOUR LEAF ACQUISITION CORP35088F107COM CL A75,932$813,611dollars as filed
GLOBAL STAR ACQUISITION-CL A37962G102COM75,715$810,908dollars as filed
PLUTONIAN ACQUISITION CORP72942P104COM75,213$807,788dollars as filed
HUDSON ACQUISITION I CORP44364H100COMMON STOCK74,039$784,806dollars as filed
AKAMAI TECHNOLOGIES INC00971TAL5NOTE 0.375% 9/0734,000$774,935dollars as filedprincipal
NOBLE CORP PLCG65431957ORD SHS A15,700$761,293dollars as filedput
BLACK HAWK ACQUISITION CORPG1148A127UNIT 99/99/999974,124$752,729dollars as filed
VISION SENSING ACQUISITION C92838J103COM67,179$749,079dollars as filed
99 ACQUISITION GROUP INC65445K101CL A68,300$703,832dollars as filed
Quetta Acquisition Corp Com74841A105Common Stock68,700$700,053dollars as filed
Oak Woods Acquisition Corp67190B104Equity65,000$698,750dollars as filed
MONTEREY CAP ACQUISITION COR61244M109CLASS A COM62,461$692,692dollars as filed
FORD MTR CO345370CZ1NOTE 3/1613,000$634,454dollars as filedprincipal
COMPOSECURE INC20459V113*W EXP 12/27/202844,759$591,331dollars as filed
ISHARES SILVER TR46428Q909CALL25,000$568,750dollars as filedcall
PHP Ventures Acquisition Corp69291C106COM46,719$519,982dollars as filed
CANTALOUPE INC138103906CALL79,800$513,114dollars as filedcall
INCEPTION GROWTH ACQUSTN LTD45333D104COM46,264$502,427dollars as filed
KEEN VISION ACQUISITION CORPG52443119SHS46,000$480,700dollars as filed
GOLDENSTONE ACQUISITION LTD COM38136Y102Rights41,635$458,610dollars as filed
SURGEPAYS INC86882L113*W EXP 10/22/202764,016$443,129dollars as filed
CARVANA CO146869952CALL5,000$439,550dollars as filedput
MODERNA INC60770K957PUT4,000$426,240dollars as filedput
ZALATORIS ACQUISITION CORP89301B104COM CL A37,103$404,052dollars as filed
BLACKSTONE MORTGAGE TRUST IN09257W950COM CL A20,000$398,200dollars as filedput
ESH ACQUISITION CORP296424104COM CL A37,604$390,518dollars as filed
HERTZ GLOBAL HLDGS INC42806J950PUT48,000$375,840dollars as filedput
TRAILBLAZER MERGER CORP I89278D109CL A34,234$363,052dollars as filed
CN HEALTHY FOOD TECH GROUP C462837105COM33,267$332,005dollars as filed
QUADRO ACQUISITION ONE CORPG52807107CL A SHS29,583$324,969dollars as filed
LENNAR CORP CL B526057302Stock2,000$309,020dollars as filed
UNITED STS NAT GAS FD LP912318909UNIT PAR20,000$291,400dollars as filedcall
BELLEVUE LIFE SCNCS AQSTN CO079174108COM27,040$288,517dollars as filed
AIMFINITY INVESTMENT CORP IG0135E142UNIT 04/21/202724,216$269,282dollars as filed
AP ACQUISITION CORPG04058106CL A ORD SHS22,872$257,996dollars as filed
BRC GROUP HOLDINGS INC05580M958COM12,000$254,040dollars as filedput
DT CLOUD ACQUISITION CORPG28524109UNIT 99/99/999925,000$254,000dollars as filed
DELCATH SYS INC24661P907COM NEW53,000$252,810dollars as filedcall
EXCELFIN ACQUISITION CORP30069X102COM CL A22,280$243,520dollars as filed
PEABODY ENGR CORP704551900COM10,000$242,600dollars as filedcall
TRUMP MEDIA & TECHNOLOGY GRO25400Q113*W EXP 03/25/2028,600$235,640dollars as filed
STRIDE INC86333MAA6NOTE 1.125% 9/0171,000$226,507dollars as filedprincipal
TRANSOCEAN INC893830BW8DEB 4.625% 9/392,000$186,243dollars as filedprincipal
ALTENERGY ACQUISITION CORP02157M108COM16,139$180,757dollars as filed
CANTALOUPE INC138103956PUT24,600$158,178dollars as filedput
Aura FAT Projects Acquisition CorpG06362100COM13,946$154,940dollars as filed
AIMEI HEALTH TECHNOLOGY CO LG01341109SHS15,000$153,600dollars as filed
SEABRIDGE GOLD INC811916905CALL10,000$151,200dollars as filedcall
ARYA SCIENCES ACQU CORP IVG31659108COM13,133$147,484dollars as filed
BUKIT JALIL GBL ACQUISITION ORD SHSG1676M105Warrant13,740$144,271dollars as filed
JOBY AVIATION INCG65163118*W EXP 08/10/202182,289$142,185dollars as filed
VISHAY INTERTECHNOLOGY INC928298AP3NOTE 2.250% 6/1139,000$136,393dollars as filedprincipal
DATA STORAGE CORP23786R110*W EXP 05/18/202172,503$131,085dollars as filed
SOUNDHOUND AI INC836100957PUT22,000$129,580dollars as filedput
RENEW ENERGY GLOBAL PLCG7500M120WTS259,120$129,560dollars as filed
TALKSPACE INC87427V111*W EXP 06/21/202549,400$123,505dollars as filed
OMNIQ CORP68217M107COM224,207$119,951dollars as filed
PETVIVO HLDGS INC EQUITYCLASS EQUITY716817408COMMON STOCK111,100$118,877dollars as filed
SURGEPAYS INC86882L954COM NEW30,000$115,500dollars as filedput
ROYAL CARIBBEAN GROUP780153BQ4NOTE 6.000% 8/139,000$110,891dollars as filedprincipal
BOWEN ACQUISITION CORPG12729110SHS10,000$104,150dollars as filed
MICROCHIP TECHNOLOGY INC.595017AD6NOTE 1.625% 2/123,000$93,414dollars as filedprincipal
SKY HARBOUR GROUP CORPORATIO83085C115*W EXP 01/25/20241,000$72,160dollars as filed
ORAGENICS INC684023500COM50,028$72,040dollars as filed
PERFECT MOMENT LTD713715100COM SHS20,000$71,600dollars as filed
AMPRIUS TECHNOLOGIES INC03214Q116*W EXP 09/14/202281,481$70,370dollars as filed
FOREMOST CLEAN ENERGY LTD345510119*W EXP 08/24/202115,028$69,764dollars as filed
OPTIMUMBANK HLDGS INC68401P403COM15,557$66,740dollars as filed
AZITRA INC05479L104COM300,501$61,753dollars as filed
NUVVE HOLDING CORP67079Y209COM NEW55,280$60,808dollars as filed
DIANA SHIPPING INCY2066G138*W EXP 12/14/202124,286$57,208dollars as filed
PYXIS TANKERS INCY71726122*W EXP 10/13/20247,250$54,338dollars as filed
AESTHER HC -CW23 EQUITY67644C112COM168,260$49,132dollars as filed
SCORPIUS HOLDINGS INC42237K409COMMON283,040$45,852dollars as filed
MIRION TECHNOLOGIES INC60471A119*W EXP 10/20/20219,996$44,791dollars as filed
DEXCOM INC252131AK3NOTE 0.250%11/136,000$39,590dollars as filedprincipal
TENON MEDICAL INC88066N113*W EXP 06/16/202671,558$39,488dollars as filed
SkyAI Inc82003F119*W EXP 4/13/202464,483$37,159dollars as filed
SILYNXCOM LTDM8T145100COM SHS10,000$34,100dollars as filed
APPTECH PMTS CORP03834B309COM35,000$33,600dollars as filed
MARIS TECH LTDM68057112*W EXP 02/04/202207,000$33,431dollars as filed
NEXTPLAT CORP68557F118*W EXP 06/02/20268,800$30,960dollars as filed
MOBILICOM LTD60742B110*W EXP 08/31/20289,375$28,600dollars as filed
Eon Resources Inc W Exp 11/15/20240472A128SPAC Combination201,105$28,135dollars as filed
ESPERION THERAPEUTICS INC NE29664W905COM10,000$26,800dollars as filedcall
NEOVOLTA INC640655114*W EXP 04/01/202165,332$26,668dollars as filed
Draganfly Inc26142Q205COM139,568$26,462dollars as filed
FUNDAMENTAL GLOBAL INC30329Y106COMMON19,095$26,351dollars as filed
APPTECH PMTS CORP03834B127*W EXP 01/04/20269,609$22,971dollars as filed
MICROSTRATEGY INC594972AE1NOTE 2/116,000$21,930dollars as filedprincipal
KWESST MICRO SYSTEMS INC501506133*W EXP 09/01/202182,888$21,489dollars as filed
PETVIVO HLDGS INC716817119*W EXP 08/13/202204,183$20,418dollars as filed
ACCELERATE DIAGNOSTICS INC00430H201COM20,000$19,800dollars as filed
FGI INDUSTRIES LTDG3302D111*W EXP 99/99/999121,152$19,081dollars as filed
HEARTBEAM INC42238H116*W EXP 10/31/20276,045$19,011dollars as filed
FORESIGHT AUTONOMOUS HLDGS L345523203SPONSORED ADR17,000$18,190dollars as filed
NEUROSENSE THERAPEUTICS LTDM74240116*W EXP 11/10/20241,406$17,391dollars as filed
WHOLE EARTH BRANDS INC96684W126WARRANT312,649$17,118dollars as filed
TWIN RIDGE CAPITAL ACQUISITIONg1893d110WT175,300$15,549dollars as filed
SAVERONE 2014 LTD80516T113*W EXP 06/02/202183,181$15,479dollars as filed
STRONG GLOBAL ENTMT INC86335G109CL A COM VOTING10,399$15,287dollars as filed
Apollomics Inc W Exp 04/01/202G0411D115SPAC Combination511,000$15,279dollars as filed
SOLIGENIX INC834223505COM NEW24,500$14,700dollars as filed
BIOAFFINITY TECHNOLOGIES INC09076W117*W EXP 09/07/20215,679$12,001dollars as filed
BT BRANDS INC0557MQ115*W EXP 11/12/202118,082$11,525dollars as filed
WEARABLE DEVICES LTDM97838110*W EXP 09/14/202117,200$9,376dollars as filed
VBI VACCINES INC91822J202Foreign Stock15,000$9,039dollars as filed
LITHIA MTRS INC COM92561V117COM112,000$8,725dollars as filed
STRAN & COMPANY INC86260J110*W EXP 99/99/999180,824$8,598dollars as filed
SPLASH BEVERAGE GROUP INC84862C112*W EXP 06/15/202137,940$8,276dollars as filed
GLOBAL GAS CORP DEL37892P115*W EXP 12/21/202182,002$8,236dollars as filed
ONFOLIO HOLDINGS INC68277K124*W EXP 01/02/202193,570$7,859dollars as filed
APOLLOMICS INCG0411D107COM10,026$7,319dollars as filed
INUVO INC46122W204COM NEW20,000$6,900dollars as filed
WTS/LION ELECTRIC EXP12/13/2027536221120WARR21,000$6,720dollars as filed
ZURA BIO LTDG9TY5A119YW EXP 99/99/99925,818$6,584dollars as filed
NEXALIN TECHNOLOGY INC65345B110*W EXP 99/99/999150,000$6,270dollars as filed
Aeries Technology Inc W Exp 11/06/202G0136H110SPAC Combination95,027$6,153dollars as filed
PROTAGENIC THERAPEUTICS INC74365N111*W EXP 04/26/202177,196$5,741dollars as filed
MICROCLOUD HOLOGRAM INCG55032125*W EXP 01/31/20265,089$5,630dollars as filed
Aurora Innovation Inc W Exp 11/03/202051774115SPAC Combination20,000$5,400dollars as filed
Bridger Aerospace Grp Hldgs W Exp 01/24/20296812F110SPAC Combination25,200$5,040dollars as filed
THARIMMUNE INC432705200COMMON10,002$4,303dollars as filed
INCEPTION GR -23 EQUITY45333D112COM89,900$3,596dollars as filed
PASITHEA THERAPEUTICS CORP70261F111*W EXP 08/12/202289,868$3,594dollars as filed
NORTHVIEW ACQUISITION CORP66718N111*W EXP 08/02/20277,770$3,371dollars as filed
NETCAPITAL INC64113L103COM25,000$3,143dollars as filed
PINSTRIPES HOLDINGS INC06690B115*W EXP 09/30/20212,200$3,020dollars as filed
IVEDA SOLUTIONS INC46583A113*W EXP 04/01/20240,497$2,835dollars as filed
Anghami Inc W Exp 02/03/202G0369L119SPAC Combination40,409$2,748dollars as filed
PAGAYA TECHNOLOGIES LTDM7S64L107WTS30,000$2,730dollars as filed
HUB CYBER SECURITY LTDM6000J127WTS171,171$2,722dollars as filed
Arogo Capital Acquisition Corp042644112Warrant90,000$2,430dollars as filed
60 DEGREES PHARMACEUTICALS I83006G112*W EXP 07/12/20229,515$2,243dollars as filed
LIXTE BIOTECHNOLOGY HLDGS IN539319111*W EXP 11/30/20240,875$2,048dollars as filed
WORKSPORT LTD98139Q118*W EXP 08/06/20264,652$1,739dollars as filed
CANNA-GLOBAL ACQUISITION CORP13767k119WT90,100$1,622dollars as filed
KAIROUS ACQUISITION CORP LTDG52131128*W EXP 09/15/20278,977$1,580dollars as filed
Xbp Global Holdings Inc W Exp 11/30/20298400V119SPAC Combination38,900$1,552dollars as filed
BANNIX ACQUISITION CORP066644113*W EXP 07/31/20243,200$1,469dollars as filed
SEASTAR MEDICAL HOLDING CORP81256L112WTS10,000$1,460dollars as filed
SMX SEC MATTERS PLCG8267K117*W EXP 03/07/20299,100$1,268dollars as filed
AINOS INC00902F113*W EXP 07/29/20218,800$1,209dollars as filed
Semantix, IncG6332A114Warrant102,119$1,174dollars as filed
CEA INDUSTRIES INC86887P119*W EXP 02/11/20279,872$1,038dollars as filed
Cingulate Inc W Exp 12/10/20217248W113Warrant43,155$969dollars as filed
BOA ACQUISITION CORPg8059b119WT126,860$888dollars as filed
BUZZFEED INC12430A110*W EXP 12/03/20219,778$886dollars as filed
Beneficient W Exp 06/07/20208178Q119SPAC Combination104,385$851dollars as filed
Thunder Power Holdings Inc31561T110Warrant20,796$564dollars as filed
ACLARION INC655187110*W EXP 04/21/20215,000$525dollars as filed
EDIBLE GARDEN AG INC28059P113*W EXP 99/99/99929,126$446dollars as filed
DERMATA THERAPEUTICS INC249845116*W EXP 99/99/99930,000$285dollars as filed
Alpha Star Acquisition CorpG0230C116WARRANT16,452$165dollars as filed

Amendment chain

FilingRoleFiledAcceptedIngested
13F-HR 0001597506-24-000005this filing2024-05-06acceptance time not in the bulk data set