Warberg Asset Management LLC — Q2 2021 13F Holdings

Name: Warberg Asset Management LLC — 13F Holdings, Q2 2021
Creator: AlphaSMO
License: https://www.sec.gov/forms

CIK: 0001597506

Total reported value

$599.6M

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Full holdings list this quarter

#	Ticker	Issuer	Asset Subclass	Weight	Weight Change	Shares Change
1	SPY	Ss Spdr S&p 500 ETF Trust-us	ETF-Large Cap & Growth	29.96%	—	+125.63%
2	TSLA 2.375 03-15-22	Tesla INC	Stock-Consumer Disc	5.04%	—	—
3	PLUG 3.75 06-01-25	Plug Power INC	Stock-Industrials	4.60%	—	—
4	NUAN 1 12-15-35	Nuance Communications	Stock-Other	2.52%	—	+421.69%
5	SNAP 0.25 05-01-25	Snap INC	Stock-Comm Services	2.44%	—	—
6	RH 0 06-15-23	Rh	Stock-Consumer Disc	2.29%	—	+0.75%
7	SEALTD 2.375 12-01-25	Sea LTD	Stock-Other	2.22%	—	—
8	NUAN 1.25 04-01-25	Nuance Communications	Stock-Other	2.20%	—	+178.20%
9	NOW 0 06-01-22	Servicenow INC	Stock-Tech	2.10%	—	—
10	WIX 0 07-01-23	Wix LTD	Stock-Tech	2.06%	—	+2.59%
11	W 1.125 11-01-24	Wayfair INC	Stock-Consumer Disc	1.89%	—	+0.03%
12	RH 0 09-15-24	Rh	Stock-Consumer Disc	1.76%	—	+89.00%
13	DXCM 0.75 12-01-23	Dexcom INC	Stock-Healthcare	1.69%	—	+16.29%
14	HASI 4.125 09-01-22	Hannon Armstrong Sustain	Stock-Financials	1.63%	—	-0.61%
15	Z 0.75 09-01-24	Zillow Group INC	Stock-Comm Services	1.34%	—	—
16	TER 1.25 12-15-23	Teradyne INC	Stock-Tech	1.34%	—	+891.46%
17	TSLA	Tesla INC	Stock-Consumer Disc	1.32%	—	+122.22%
18	ON 1.625 10-15-23	On Semiconductor CORP	Stock-Tech	1.26%	—	—
19	XYZ 0.5 05-15-23	Block INC	Stock-Financials	1.25%	—	-18.40%
20	WSC	Willscot Holdings CORP	Stock-Industrials	1.23%	—	+101.02%
21	MELI 2 08-15-28	Mercadolibre INC	Stock-Consumer Disc	1.07%	—	—
22	MSFT	Microsoft CORP	Stock-Tech	1.05%	—	—
23	✓	Gores Hldin-cw20	Stock-Other	1.00%	—	+26.25%
24	PANW 0.75 07-01-23	Palo Alto Networks	Stock-Tech	0.99%	—	+1.66%
25	ZEN 0.25 03-15-23	Zendesk INC	Stock-Other	0.98%	—	—
26	BAND 0.25 03-01-26	Bandwidth INC	Stock-Other	0.95%	—	+3.45%
27	ETSY 0.125 10-01-26	Etsy INC	Stock-Consumer Disc	0.91%	—	-2.29%
28	FOLD 3 12-15-23	Amicus Therapeutics INC	Stock-Other	0.85%	—	—
29	QTWO 0.75 02-15-23	Q2 Holdings INC	Stock-Tech	0.81%	—	+25.08%
30	MCHP 2.25 02-15-37	Microchip Technology INC	Stock-Tech	0.80%	—	—
31	VRNS 1.25 08-15-25	Varonis System INC	Stock-Tech	0.76%	—	—
32	KBR 2.5 11-01-23	Kbr INC	Stock-Industrials	0.62%	—	+87.00%
33	RGEN 0.375 07-15-24	Repligen CORP	Stock-Healthcare	0.62%	—	+611.20%
34	PENN 2.75 05-15-26	Penn Entertainment INC	Stock-Consumer Disc	0.59%	—	-5.18%
35	HTGC 4.375 02-01-22	Hercules Capital INC	Stock-Financials	0.57%	—	—
36	DASH	Doordash INC - A	Stock-Consumer Disc	0.55%	—	+166.67%
37	VXX	iPath Series B S&P 500 VIX Short-Term Futures ETN	Stock-Other	0.52%	—	—
38	AKAM 0.125 05-01-25	Akamai Technologies INC	Stock-Tech	0.51%	—	+471.43%
39	XYZ 0.125 03-01-25	Block INC	Stock-Financials	0.51%	—	—
40	COUP 0.125 06-15-25	Coupa Software INC	Stock-Other	0.50%	—	-53.30%
41	LUV 1.25 05-01-25	Southwest Airlines Co	Stock-Industrials	0.50%	—	-14.70%
42	AMC	AMC Entertainment Holdings, Inc.	Stock-Other	0.48%	—	—
43	NEE 4.872 09-01-22	Nextera Energy INC	Stock-Utilities	0.48%	—	+8.96%
44	✓	Infra And Energy Altrntive I	Stock-Other	0.47%	—	+3.25%
45	SSSS	Suro Capital CORP	Stock-Other	0.45%	—	+2.08%
46	FCN 2 08-15-23	Fti Consulting INC	Stock-Industrials	0.44%	—	+218.76%
47	KN 3.25 11-01-21	Knowles CORP	Stock-Other	0.43%	—	—
48	IIPR	Innovative Industrial Proper	Stock-Real Estate	0.43%	—	-28.57%
49	WOLF 1.75 05-01-26	Wolfspeed INC	Stock-Other	0.42%	—	—
50	BL 0.125 08-01-24	Blackline INC	Stock-Tech	0.41%	—	+12.77%

1–50 of 189

Holding changes this quarter

Position changes disclosed by Warberg Asset Management LLC for the quarter ending Q2 2021, including ticker, issuer, weight change, shares change, and action
#	Ticker	Issuer	Weight Change	Shares Change	Action
1	SPY	Ss Spdr S&p 500 ETF Trust-us	—	EXIT	Sold out
2	PODD 1.375 11-15-24	Insulet Corporation	—	EXIT	Sold out
3	ZD 3.25 06-15-29	J2 Global Communications	—	EXIT	Sold out
4	RH 0 06-15-23	Rh	—	EXIT	Sold out
5	WIX 0 07-01-23	Wix LTD	—	EXIT	Sold out
6	W 1.125 11-01-24	Wayfair INC	—	EXIT	Sold out
7	HASI 4.125 09-01-22	Hannon Armstrong Sustain	—	EXIT	Sold out
8	MU 3.125 05-01-32 D	Micron Technology INC	—	EXIT	Sold out
9	XYZ 0.5 05-15-23	Block INC	—	EXIT	Sold out
10	Z 0.75 09-01-24	Zillow Group INC	—	EXIT	Sold out
11	ILMN 0.5 06-15-21	Illumina INC	—	EXIT	Sold out
12	CCL1EUR	Carnival CORP LTD	—	EXIT	Sold out
13	DXCM 0.75 12-01-23	Dexcom INC	—	EXIT	Sold out
14	COUP 0.125 06-15-25	Coupa Software INC	—	EXIT	Sold out
15	MELI 2 08-15-28	Mercadolibre INC	—	EXIT	Sold out
16	ETSY 0.125 10-01-26	Etsy INC	—	EXIT	Sold out
17	PANW 0.75 07-01-23	Palo Alto Networks	—	EXIT	Sold out
18	FOLD 3 12-15-23	Amicus Therapeutics INC	—	EXIT	Sold out
19	BAND 0.25 03-01-26	Bandwidth INC	—	EXIT	Sold out
20	PENN 2.75 05-15-26	Penn Entertainment INC	—	EXIT	Sold out
21	RH 0 09-15-24	Rh	—	EXIT	Sold out
22	MCHP 2.25 02-15-37	Microchip Technology INC	—	EXIT	Sold out
23	TLT	Ishares 20+ Year Treasury Bd	—	EXIT	Sold out
24	✓	Infra And Energy Altrntive I	—	EXIT	Sold out
25	LUV 1.25 05-01-25	Southwest Airlines Co	—	EXIT	Sold out
26	NUAN 1.25 04-01-25	Nuance Communications	—	EXIT	Sold out
27	QTWO 0.75 02-15-23	Q2 Holdings INC	—	EXIT	Sold out
28	WSC	Willscot Holdings CORP	—	EXIT	Sold out
29	TSLA	Tesla INC	—	EXIT	Sold out
30	CHGG 0.125 03-15-25	Chegg INC	—	EXIT	Sold out
31	NUAN 1.5 11-01-35	Nuance Communications	—	EXIT	Sold out
32	IIPR	Innovative Industrial Proper	—	EXIT	Sold out
33	✓	Gores Hldin-cw20	—	EXIT	Sold out
34	KN 3.25 11-01-21	Knowles CORP	—	EXIT	Sold out
35	XLF	Ss Financial Select Sector	—	EXIT	Sold out
36	NEE 4.872 09-01-22	Nextera Energy INC	—	EXIT	Sold out
37	SSSS	Suro Capital CORP	—	EXIT	Sold out
38	XOM	Exxon Mobil CORP	—	EXIT	Sold out
39	NUAN 1 12-15-35	Nuance Communications	—	EXIT	Sold out
40	MDB 0.75 06-15-24	Mongodb INC	—	EXIT	Sold out
41	BL 0.125 08-01-24	Blackline INC	—	EXIT	Sold out
42	ZNGA 0.25 06-01-24	Zynga INC	—	EXIT	Sold out
43	META	Meta Platforms Inc-class A	—	EXIT	Sold out
44	KBR 2.5 11-01-23	Kbr INC	—	EXIT	Sold out
45	HCI 4.25 03-01-37	Hci Group INC	—	EXIT	Sold out
46	GCMGW	Gcm Grosvenor INC A -cw25	—	EXIT	Sold out
47	INSGEUR	Inseego CORP	—	EXIT	Sold out
48	ABR 5.25 07-01-21 *	Arbor Realty Trust INC	—	EXIT	Sold out
49	ETSY 0 03-01-23	Etsy INC	—	EXIT	Sold out
50	SJI 7.25 04-15-21	South Jersey Industries	—	EXIT	Sold out