Warberg Asset Management LLC Q2 2023 Filing

Filed August 9, 2023

Portfolio Value

$602.6M

Holdings

238

Report Date

Q2 2023

Filing Type

13F-HR

All Holdings (238 positions)

#	Stock	Shares	Value	% Portfolio	Type
1	SPYSPDR S&P 500 ETF TR	403,000	$178.6M	29.65%	Put
2	—ON SEMICONDUCTOR CORP	8,778,000	$40.0M	6.64%
3	DXCM 0.75 12/01/23DEXCOM INC	12,694,000	$39.7M	6.58%
4	KBR 2.5 11/01/23KBR INC	14,524,000	$37.2M	6.18%
5	OXY/WSOCCIDENTAL PETE CORP	997,821	$36.8M	6.11%
6	QQQINVESCO QQQ TR	93,800	$34.7M	5.75%	Put
7	—TERADYNE INC	7,612,000	$26.9M	4.47%
8	MELI 2 08/15/28MERCADOLIBRE INC	6,570,000	$18.0M	2.98%
9	—RH	8,057,000	$12.9M	2.14%
10	—ALTAIR ENGR INC	6,700,000	$10.9M	1.82%
11	EQT 1.75 05/01/26EQT CORP	3,693,000	$10.4M	1.73%
12	FCN 2 08/15/23FTI CONSULTING INC	4,665,000	$8.8M	1.45%
13	AAPLAPPLE INC	43,000	$8.3M	1.38%	Put
14	HTZWWHERTZ GLOBAL HLDGS INC	750,636	$7.6M	1.26%
15	—SEA LTD	5,000,000	$6.4M	1.07%
16	ETSY 0.125 10/01/26ETSY INC	5,305,000	$6.3M	1.04%
17	MDRX 0.875 01/01/27VERADIGM INC	5,500,000	$6.1M	1.01%
18	PXD 0.25 05/15/25PIONEER NAT RES CO	2,666,000	$5.9M	0.97%
19	ATI 3.5 06/15/25ATI INC	2,000,000	$5.8M	0.96%
20	—CONMED CORP	3,170,000	$4.9M	0.81%
21	AQLTISHARES TR	26,000	$4.9M	0.81%	Put
22	PSN 0.25 08/15/25PARSONS CORP DEL	3,839,000	$4.4M	0.73%
23	BOX 0 01/15/26BOX INC	3,500,000	$4.4M	0.72%
24	BKNG 0.75 05/01/25BOOKING HOLDINGS INC	2,411,000	$3.6M	0.60%
25	RGENREPLIGEN CORP	2,678,000	$3.5M	0.58%
26	SURGSURGEPAYS INC	1,236,899	$3.4M	0.56%
27	PRGSPROGRESS SOFTWARE CORP	3,000,000	$3.3M	0.55%
28	AKAM 0.125 05/01/25AKAMAI TECHNOLOGIES INC	2,980,000	$3.2M	0.53%
29	—INTERDIGITAL INC	2,500,000	$3.0M	0.50%
30	MIDD 1 09/01/25MIDDLEBY CORP	2,438,000	$3.0M	0.50%
31	HDHOME DEPOT INC	9,000	$2.8M	0.46%	Call
32	—VANECK ETF TRUST	89,000	$2.7M	0.44%	Call
33	—NICE SYS INC	1,060,000	$2.6M	0.44%
34	F 0 03/15/26FORD MTR CO DEL	2,000,000	$2.2M	0.36%
35	ARKTARK ETF TR	45,000	$2.0M	0.33%	Put
36	MCHP 1.625 02/15/27MICROCHIP TECHNOLOGY INC.	771,000	$2.0M	0.33%
37	ZS 0.125 07/01/25ZSCALER INC	1,667,000	$1.9M	0.32%
38	MCDMCDONALDS CORP	6,000	$1.8M	0.30%	Put
39	MSFTMICROSOFT CORP	5,000	$1.7M	0.28%	Call
40	NENNEW ENGLAND RLTY ASSOC LTD P	22,104	$1.6M	0.27%
41	EXEELCHESAPEAKE ENERGY CORP	22,225	$1.5M	0.24%
42	TLTISHARES TR	14,000	$1.4M	0.24%	Put
43	STTSPDR S&P 500 ETF TR	3,000	$1.3M	0.22%	Call
44	NVDANVIDIA CORPORATION	3,000	$1.3M	0.21%	Put
45	—FISKER INC	204,300	$1.2M	0.19%	Put
46	WALWESTERN ALLIANCE BANCORP	31,000	$1.1M	0.19%	Put
47	—INVESCO QQQ TR	3,000	$1.1M	0.18%	Call
48	—BARCLAYS BANK PLC	40,000	$1.0M	0.17%	Call
49	DDOG 0.125 06/15/25DATADOG INC	793,000	$986K	0.16%
50	PANW 0.375 06/01/25PALO ALTO NETWORKS INC	370,000	$952K	0.16%
51	EPR 5.75 PERP CEPR PPTYS	38,600	$814K	0.14%
52	EXEEWCHESAPEAKE ENERGY CORP	10,698	$788K	0.13%
53	—PHP VENTURES ACQUISITION COR	69,973	$750K	0.12%
54	SLVISHARES SILVER TR	35,000	$731K	0.12%	Call
55	MRNAMODERNA INC	6,000	$729K	0.12%	Put
56	—HUDSON ACQUISITION I CORP	69,800	$724K	0.12%
57	GDSTGOLDENSTONE ACQUISITION LTD	66,023	$700K	0.12%
58	IRRXINTEGRATED RAIL AND RES ACQ	64,642	$695K	0.12%
59	MSFTMICROSOFT CORP	2,000	$681K	0.11%	Put
60	OAKUOAK WOODS ACQUISITION CORP	65,000	$668K	0.11%
61	EONRHNR ACQUISITION CORP	62,266	$661K	0.11%
62	—MONTEREY CAP ACQUISITION COR	60,889	$637K	0.11%
63	—OXBRIDGE ACQUISITION CORP	54,902	$597K	0.10%
64	—ACRI CAPITAL ACQUISITION COR	54,500	$590K	0.10%
65	BLMN 5 05/01/25BLOOMIN BRANDS INC	243,000	$583K	0.10%
66	—AMC ENTMT HLDGS INC	125,700	$553K	0.09%	Put
67	—26 CAPITAL ACQUISITION CORP	49,934	$537K	0.09%
68	CVNACARVANA CO	20,000	$518K	0.09%	Call
69	BKCHGLOBAL BLOCKCHAIN ACQUI CORP	48,078	$502K	0.08%
70	—PRIME NO ACQUISITION I CORP	46,800	$494K	0.08%
71	—MOBIV ACQUISITION CORP	44,250	$468K	0.08%
72	1ZRATLANTIC COASTAL ACQUISTN CO	45,104	$466K	0.08%
73	FGMCFG MERGER CORP	41,421	$438K	0.07%
74	JPMJPMORGAN CHASE & CO	3,000	$436K	0.07%	Call
75	NVDANVIDIA CORPORATION	1,000	$423K	0.07%	Call
76	EVCOEVEREST CONSOLIDATOR ACQ COR	39,427	$420K	0.07%
77	—UNITED STS NAT GAS FD LP	54,000	$401K	0.07%	Call
78	—AIMFINITY INVESTMENT CORP I	29,700	$312K	0.05%
79	BOHBANK HAWAII CORP	7,500	$309K	0.05%	Put
80	SPNTSIRIUSPOINT LTD	32,700	$295K	0.05%	Put
81	—INTL GNRL INSURANCE HLDNGS L	480,509	$294K	0.05%
82	AQLTISHARES TR	2,000	$289K	0.05%	Put
83	LMBSFIRST TR EXCHANGE-TRADED FD	5,813	$277K	0.05%
84	—PONO CAP THREE INC	25,300	$263K	0.04%
85	JOBYJOBY AVIATION INC	98,000	$260K	0.04%
86	EXEEZCHESAPEAKE ENERGY CORP	3,611	$253K	0.04%
87	GTLS 1 11/15/24CHART INDS INC	85,000	$233K	0.04%
88	TBMCTRAILBLAZER MERGER CORP I	22,690	$231K	0.04%
89	—PLUTONIAN ACQUISITION CORP	22,196	$231K	0.04%
90	RIVNRIVIAN AUTOMOTIVE INC	13,600	$227K	0.04%	Call
91	ALSAFALPHA STAR ACQUISITION CORP	21,103	$226K	0.04%
92	RNWRENEW ENERGY GLOBAL PLC	278,111	$222K	0.04%
93	—AURA FAT PROJS ACQUISITION C	20,361	$215K	0.04%
94	ENPH 0.25 03/01/25ENPHASE ENERGY INC	100,000	$215K	0.04%
95	CMPOWCOMPOSECURE INC	203,563	$214K	0.04%
96	AMPX/WSAMPRIUS TECHNOLOGIES INC	442,910	$213K	0.04%
97	NENOBLE CORP PLC	8,422	$210K	0.03%
98	ESHAESH ACQUISITION CORP	20,455	$207K	0.03%
99	—VISION SENSING ACQUISITION C	17,677	$189K	0.03%
100	MBVIM3 BRIGADE ACQUISITION III	17,735	$185K	0.03%

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