Warberg Asset Management LLC Q3 2021 Filing

Filed November 15, 2021

Portfolio Value

$616.7B

Holdings

191

Report Date

Q3 2021

Filing Type

13F-HR

All Holdings (191 positions)

#	Stock	Shares	Value	% Portfolio	Type
1	SPYSPDR S&P 500 ETF TR	523,000	$224.4B	36.39%	Put
2	—TESLA INC	2,510,000	$29.7B	4.81%
3	—NUANCE COMMUNICATIONS INC	7,743,000	$21.8B	3.53%
4	PLUG 3.75 06/01/25PLUG POWER INC	3,485,000	$17.8B	2.88%
5	MCHP 1.625 02/15/25MICROCHIP TECHNOLOGY INC.	5,073,000	$17.2B	2.78%
6	—CLOUDFLARE INC	5,000,000	$15.1B	2.45%
7	—RH	4,575,000	$14.4B	2.33%
8	SNAP 0.25 05/01/25SNAP INC	4,000,000	$13.7B	2.21%
9	RGENREPLIGEN CORP	5,025,000	$12.7B	2.06%
10	SEALTD 2.375 12/01/25SEA LTD	3,533,000	$12.6B	2.04%
11	—ON SEMICONDUCTOR CORP	5,450,000	$12.3B	1.99%
12	—RH	3,409,000	$11.7B	1.90%
13	DXCM 0.75 12/01/23DEXCOM INC	3,355,000	$11.2B	1.81%
14	NDQINVESCO QQQ TR	30,000	$10.7B	1.74%	Put
15	PANW 0.75 07/01/23PALO ALTO NETWORKS INC	5,722,000	$10.4B	1.69%
16	W 1.125 11/01/24WAYFAIR INC	3,555,000	$8.0B	1.30%
17	TSLATESLA INC	10,000	$7.8B	1.26%	Put
18	—SEA LTD	1,175,000	$7.5B	1.21%
19	—WIX COM LTD	4,830,000	$7.2B	1.16%
20	MELI 2 08/15/28MERCADOLIBRE INC	1,734,000	$6.6B	1.07%
21	ETSY 0.125 10/01/26ETSY INC	2,564,000	$6.2B	1.01%
22	—SQUARE INC	1,782,000	$5.5B	0.89%
23	Z 0.75 09/01/24ZILLOW GROUP INC	2,450,000	$5.1B	0.82%
24	—ZENDESK INC	2,350,000	$4.4B	0.71%
25	EXEEWCHESAPEAKE ENERGY CORP	118,000	$4.3B	0.69%
26	—WORKDAY INC	2,500,000	$4.3B	0.69%
27	—HERCULES CAPITAL INC	4,004,000	$4.2B	0.68%
28	VRNS 1.25 08/15/25VARONIS SYS INC	2,000,000	$4.1B	0.67%
29	MIDD 1 09/01/25MIDDLEBY CORP	2,600,000	$3.7B	0.60%
30	DASHDOORDASH INC	18,000	$3.7B	0.60%	Put
31	TLTISHARES TR	25,000	$3.6B	0.59%	Put
32	MRNAMODERNA INC	9,000	$3.5B	0.56%	Put
33	—MICROCHIP TECHNOLOGY INC.	1,480,000	$3.4B	0.55%
34	QTWO 0.75 02/15/23Q2 HLDGS INC	2,309,000	$3.3B	0.54%
35	KBR 2.5 11/01/23KBR INC	2,065,000	$3.3B	0.54%
36	XYZ 0.125 03/01/25SQUARE INC	1,581,000	$3.2B	0.52%
37	PAVMPAVMED INC	445,899	$3.1B	0.50%
38	AKAM 0.125 05/01/25AKAMAI TECHNOLOGIES INC	2,500,000	$3.0B	0.49%
39	PENN 2.75 05/15/26PENN NATL GAMING INC	928,000	$3.0B	0.48%
40	NEE 4.872 09/01/22NEXTERA ENERGY INC	47,833	$2.8B	0.45%
41	LUV 1.25 05/01/25SOUTHWEST AIRLS CO	1,706,000	$2.5B	0.41%
42	—MUDRICK CAPITAL ACQU CORP II	251,400	$2.5B	0.41%	Put
43	AAPLAPPLE INC	17,500	$2.5B	0.40%	Put
44	—HUBSPOT INC	325,000	$2.3B	0.38%
45	SLVISHARES SILVER TR	110,000	$2.3B	0.37%	Call
46	BL 0.125 08/01/24BLACKLINE INC	1,339,000	$2.2B	0.36%
47	FCN 2 08/15/23FTI CONSULTING INC	1,597,000	$2.2B	0.36%
48	—HCI GROUP INC	1,194,000	$2.2B	0.35%
49	—ESSENTIAL UTILS INC	35,990	$2.1B	0.33%
50	—KNOWLES CORP	2,010,000	$2.0B	0.33%
51	IIPRINNOVATIVE INDL PPTYS INC	8,400	$1.9B	0.31%	Put
52	—INSULET CORP	623,000	$1.9B	0.31%
53	—NICE SYS INC	536,000	$1.8B	0.30%
54	EXEELCHESAPEAKE ENERGY CORP	62,000	$1.8B	0.29%
55	WSCWILLSCOT MOBIL MINI HLDNG CO	56,004	$1.8B	0.29%
56	ATMPBARCLAYS BANK PLC	60,000	$1.7B	0.27%	Call
57	GDXVANECK ETF TRUST	55,000	$1.6B	0.26%	Call
58	NEE 5.279 03/01/23NEXTERA ENERGY INC	30,000	$1.5B	0.25%
59	—INFRA AND ENERGY ALTRNTIVE I	1,278,607	$1.5B	0.24%
60	SSSSSURO CAPITAL CORP	114,129	$1.5B	0.24%	Put
61	—DOCUSIGN INC	367,000	$1.3B	0.21%
62	RMBS 1.375 02/01/23RAMBUS INC DEL	977,000	$1.2B	0.20%
63	ARKKARK ETF TR	10,000	$1.1B	0.18%	Put
64	SNAP 0.75 08/01/26SNAP INC	326,000	$1.1B	0.17%
65	INSGEURINSEEGO CORP	146,400	$976.0M	0.16%	Put
66	TMVDIREXION SHS ETF TR	15,000	$935.0M	0.15%	Call
67	DOCNDIGITALOCEAN HLDGS INC	10,000	$776.0M	0.13%	Put
68	NENNEW ENGLAND RLTY ASSOC LTD P	12,090	$737.0M	0.12%
69	—PERSHING SQUARE TONTINE HLDG	35,000	$690.0M	0.11%
70	Z 1.375 09/01/26ZILLOW GROUP INC	325,000	$685.0M	0.11%
71	FFORD MTR CO DEL	48,000	$680.0M	0.11%	Call
72	—CONMED CORP	403,000	$626.0M	0.10%
73	DKS 3.25 04/15/25DICKS SPORTING GOODS INC	158,000	$581.0M	0.09%
74	GCMGWGCM GROSVENOR INC	288,705	$575.0M	0.09%
75	—INTL GNRL INSURANCE HLDNGS L	649,842	$458.0M	0.07%
76	J40TPROSHARES TR	24,000	$440.0M	0.07%	Call
77	QSQUANTUMSCAPE CORP	17,000	$417.0M	0.07%	Call
78	MYSEWDATCHAT INC	45,658	$393.0M	0.06%
79	PAASPAN AMERN SILVER CORP	16,500	$384.0M	0.06%	Call
80	AHTASHFORD HOSPITALITY TR INC	26,000	$383.0M	0.06%	Call
81	—KALEYRA INC	136,046	$373.0M	0.06%
82	—NIKOLA CORP	35,000	$373.0M	0.06%	Put
83	—ATLAS AIR WORLDWIDE HLDGS IN	300,000	$353.0M	0.06%
84	PTONPELOTON INTERACTIVE INC	4,000	$348.0M	0.06%	Put
85	—SAILPOINT TECHNOLOGIES HLDGS	200,000	$322.0M	0.05%
86	—ALTAIR ENGR INC	201,000	$312.0M	0.05%
87	VIAV 1 03/01/24VIAVI SOLUTIONS INC	224,000	$293.0M	0.05%
88	PODD 0.375 09/01/26INSULET CORP	199,000	$278.0M	0.05%
89	—ASTRA SPACE INC	104,873	$249.0M	0.04%
90	—DASEKE INC	1,063,101	$218.0M	0.04%
91	—TESLA INC	17,000	$212.0M	0.03%
92	PCTPURECYCLE TECHNOLOGIES INC	16,000	$212.0M	0.03%	Put
93	—NOBLE ROCK ACQUISITION CORP	21,324	$207.0M	0.03%
94	—TROIKA MEDIA GROUP INC	565,647	$202.0M	0.03%
95	BKSY/WSBLACKSKY TECHNOLOGY INC	126,760	$200.0M	0.03%
96	—DIGITAL MEDIA SOLUTIONS INC	262,122	$199.0M	0.03%
97	—CITIC CAPITAL ACQUISITION CO	19,900	$198.0M	0.03%
98	—FAR PEAK ACQUISITION CORP	19,900	$198.0M	0.03%
99	—GLOBAL CONSUMER ACQUISITN CO	20,000	$198.0M	0.03%
100	NBSTNEWBURY STREET ACQUISITN COR	20,000	$194.0M	0.03%

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