Warberg Asset Management LLC Q3 2023 Filing

Filed November 13, 2023

Portfolio Value

$495.6M

Holdings

244

Report Date

Q3 2023

Filing Type

13F-HR

All Holdings (244 positions)

#	Stock	Shares	Value	% Portfolio	Type
1	SPYSPDR S&P 500 ETF TR	335,000	$143.2M	28.89%	Put
2	OXY/WSOCCIDENTAL PETE CORP	1,046,696	$45.0M	9.08%
3	—ON SEMICONDUCTOR CORP	9,849,000	$44.2M	8.92%
4	KBR 2.5 11/01/23KBR INC	15,790,000	$37.3M	7.52%
5	PANW 0.375 06/01/25PALO ALTO NETWORKS INC	5,356,000	$12.6M	2.55%
6	EQT 1.75 05/01/26EQT CORP	4,515,000	$12.6M	2.53%
7	VMWEURVMWARE INC	69,485	$11.6M	2.33%
8	—RH	7,302,000	$9.6M	1.94%
9	PXD 0.25 05/15/25PIONEER NAT RES CO	3,759,000	$9.3M	1.87%
10	—ALTAIR ENGR INC	6,700,000	$9.1M	1.83%
11	—CONMED CORP	7,476,000	$8.7M	1.75%
12	QQQINVESCO QQQ TR	23,000	$8.2M	1.66%	Put
13	—INTERDIGITAL INC	6,200,000	$6.6M	1.34%
14	MDRX 0.875 01/01/27VERADIGM INC	5,500,000	$6.2M	1.26%
15	BKNG 0.75 05/01/25BOOKING HOLDINGS INC	3,527,000	$5.9M	1.19%
16	ETSY 0.125 10/01/26ETSY INC	5,323,000	$5.4M	1.09%
17	ATI 3.5 06/15/25ATI INC	2,000,000	$5.4M	1.09%
18	PSN 0.25 08/15/25PARSONS CORP DEL	4,096,000	$5.2M	1.05%
19	SPYSPDR S&P 500 ETF TR	12,000	$5.1M	1.03%
20	RGENREPLIGEN CORP	3,432,000	$4.9M	0.99%
21	AAPLAPPLE INC	28,000	$4.8M	0.97%	Put
22	HUBS 0.375 06/01/25HUBSPOT INC	2,574,000	$4.6M	0.93%
23	BOX 0 01/15/26BOX INC	3,786,000	$4.1M	0.83%
24	—SEA LTD	3,500,000	$3.9M	0.79%
25	AKAM 0.125 05/01/25AKAMAI TECHNOLOGIES INC	3,273,000	$3.9M	0.78%
26	WK 1.125 08/15/26WORKIVA INC	2,777,000	$3.8M	0.77%
27	HTZWWHERTZ GLOBAL HLDGS INC	613,408	$3.8M	0.76%
28	PRGSPROGRESS SOFTWARE CORP	3,123,000	$3.2M	0.65%
29	MCHP 1.625 02/15/27MICROCHIP TECHNOLOGY INC.	1,300,000	$2.9M	0.58%
30	MIDD 1 09/01/25MIDDLEBY CORP	2,438,000	$2.7M	0.55%
31	—NICE SYS INC	1,060,000	$2.5M	0.49%
32	TLTISHARES TR	25,000	$2.2M	0.45%	Put
33	F 0 03/15/26FORD MTR CO DEL	2,145,000	$2.1M	0.43%
34	ENPH 0.25 03/01/25ENPHASE ENERGY INC	1,338,000	$2.1M	0.42%
35	NENOBLE CORP PLC	59,490	$1.9M	0.38%
36	NBIX 2.25 05/15/24NEUROCRINE BIOSCIENCES INC	1,271,000	$1.9M	0.38%
37	NVDANVIDIA CORPORATION	4,000	$1.7M	0.35%	Put
38	EXEELCHESAPEAKE ENERGY CORP	24,688	$1.7M	0.35%
39	—DOLLAR GEN CORP NEW	16,000	$1.7M	0.34%	Call
40	ZS 0.125 07/01/25ZSCALER INC	1,393,000	$1.7M	0.34%
41	MRNAMODERNA INC	14,000	$1.4M	0.29%	Put
42	—VANECK ETF TRUST	52,300	$1.4M	0.28%	Call
43	NENOBLE CORP PLC	49,063	$1.4M	0.28%
44	—FISKER INC	204,300	$1.3M	0.26%	Put
45	SURGSURGEPAYS INC	1,164,850	$1.3M	0.26%
46	CRMSALESFORCE INC	6,000	$1.2M	0.25%	Put
47	TLTISHARES TR	12,500	$1.1M	0.22%
48	AAPLAPPLE INC	5,500	$942K	0.19%
49	—FORD MTR CO DEL	75,000	$932K	0.19%	Call
50	—SPDR SER TR	22,000	$919K	0.19%	Put
51	SRPT 1.5 11/15/24SAREPTA THERAPEUTICS INC	517,000	$912K	0.18%
52	BOHBANK HAWAII CORP	18,000	$894K	0.18%	Put
53	EPR 5.75 PERP CEPR PPTYS	46,425	$873K	0.18%
54	BLMN 5 05/01/25BLOOMIN BRANDS INC	393,000	$870K	0.18%
55	NENNEW ENGLAND RLTY ASSOC LTD P	12,150	$829K	0.17%
56	—MONTEREY CAP ACQUISITION COR	75,052	$799K	0.16%
57	1ZRATLANTIC COASTAL ACQUISTN CO	76,402	$798K	0.16%
58	EXEEWCHESAPEAKE ENERGY CORP	10,144	$784K	0.16%
59	RIVNRIVIAN AUTOMOTIVE INC	32,000	$777K	0.16%	Call
60	—EXCELFIN ACQUISITION CORP	72,617	$773K	0.16%
61	EONRHNR ACQUISITION CORP	70,068	$760K	0.15%
62	WALWESTERN ALLIANCE BANCORP	15,800	$726K	0.15%	Put
63	—ATLANTIC COASTAL AQSTN CORP	68,317	$723K	0.15%
64	—BROAD CAPITAL ACQUISITION CO	65,103	$716K	0.14%
65	SLVISHARES SILVER TR	35,000	$712K	0.14%	Call
66	—99 ACQUISITION GROUP INC	68,300	$708K	0.14%
67	OAKUOAK WOODS ACQUISITION CORP	65,000	$680K	0.14%
68	—ACRI CAPITAL ACQUISITION COR	55,096	$604K	0.12%
69	AQLTISHARES TR	4,000	$559K	0.11%	Put
70	RBC 5 10/15/24 ARBC BEARINGS INC	5,000	$552K	0.11%
71	—GLOBAL STAR ACQUISITION INC	48,562	$517K	0.10%
72	—PHP VENTURES ACQUISITION COR	45,666	$500K	0.10%
73	SPNTSIRIUSPOINT LTD	48,755	$496K	0.10%
74	SPNTSIRIUSPOINT LTD	48,700	$495K	0.10%	Put
75	CMPOWCOMPOSECURE INC	740,622	$481K	0.10%
76	KVACKEEN VISION ACQUISITION CORP	46,000	$468K	0.09%
77	NVDANVIDIA CORPORATION	1,000	$435K	0.09%	Call
78	—QOMOLANGMA ACQUISITION CORP	37,871	$402K	0.08%
79	EVCOEVEREST CONSOLIDATOR ACQ COR	37,045	$401K	0.08%
80	—BARCLAYS BANK PLC	17,000	$396K	0.08%	Call
81	—ZALATORIS ACQUISITION CORP	36,602	$386K	0.08%
82	ESHAESH ACQUISITION CORP	37,604	$381K	0.08%
83	—FORD MTR CO DEL	30,000	$373K	0.08%	Put
84	DDOG 0.125 06/15/25DATADOG INC	308,000	$363K	0.07%
85	EXEEZCHESAPEAKE ENERGY CORP	4,743	$348K	0.07%
86	AQUCAQUARON ACQUISITION CORP	32,253	$341K	0.07%
87	IGTAINCEPTION GROWTH ACQUSTN LTD	30,428	$323K	0.07%
88	MRNAMODERNA INC	3,000	$310K	0.06%
89	THTARGET HOSPITALITY CORP	60,325	$308K	0.06%
90	—REDWOODS ACQUISITION CORP	28,519	$304K	0.06%
91	—CETUS CAP ACQUISITION CORP	27,137	$284K	0.06%
92	ALSAFALPHA STAR ACQUISITION CORP	24,828	$272K	0.05%
93	—PONO CAP THREE INC	25,300	$267K	0.05%
94	PCAPAP ACQUISITION CORP	23,027	$253K	0.05%
95	TBMCTRAILBLAZER MERGER CORP I	22,877	$236K	0.05%
96	—UNITED STS NAT GAS FD LP	34,000	$232K	0.05%	Call
97	CTLPCANTALOUPE INC	34,900	$218K	0.04%	Call
98	DRCTDIRECT DIGITAL HOLDINGS INC	180,377	$216K	0.04%
99	LVLNSPDR SER TR	5,000	$209K	0.04%
100	RNWRENEW ENERGY GLOBAL PLC	278,328	$209K	0.04%

Page 1 of 3Next