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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