Managing Member

0001567619-21-004081.txt : 20210216 0001567619-21-004081.hdr.sgml : 20210216 20210216164913 ACCESSION NUMBER: 0001567619-21-004081 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210216 DATE AS OF CHANGE: 20210216 EFFECTIVENESS DATE: 20210216 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Warberg Asset Management LLC CENTRAL INDEX KEY: 0001597506 IRS NUMBER: 264016610 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-20991 FILM NUMBER: 21640036 BUSINESS ADDRESS: STREET 1: 716 OAK STREET CITY: WINNETKA STATE: IL ZIP: 60093 BUSINESS PHONE: 847-418-8333 MAIL ADDRESS: STREET 1: 716 OAK STREET CITY: WINNETKA STATE: IL ZIP: 60093 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001597506 XXXXXXXX 12-31-2020 12-31-2020 Warberg Asset Management LLC

716 OAK STREET WINNETKA IL 60093

13F HOLDINGS REPORT 028-20991 N Daniel I. Warsh Managing Member 847-418-8333 /s/ Daniel Warsh Winnetka IL 02-16-2021 0 157 407588 false INFORMATION TABLE 2 form13fInfoTable.xml 9 METERS BIOPHARMA INC COM 654405109 27 31888 SH SOLE 31888 0 0 AEQUI ACQUISITION CORP UNIT 11/30/2027 00775W201 119 11777 SH SOLE 11777 0 0 ALPHA HEALTHCARE ACQUISTN CO CL A 020751103 132 12999 SH SOLE 12999 0 0 ALTA EQUIPMENT GROUP INC *W EXP 02/14/202 02128L114 356 319800 SH SOLE 319800 0 0 AMMO INC COM 00175J107 33 10000 SH SOLE 10000 0 0 AMPCO-PITTSBURG CORP *W EXP 08/01/202 032037111 40 92900 SH SOLE 92900 0 0 APPLE INC COM 037833100 1327 10000 SH Call SOLE 10000 0 0 APPLE INC COM 037833100 1327 10000 SH Put SOLE 10000 0 0 ARBOR REALTY TRUST INC NOTE 5.250% 7/0 038923AF5 639 1000000 PRN SOLE 0 0 1000000 ARK ETF TR INNOVATION ETF 00214Q104 622 5000 SH Put SOLE 5000 0 0 ARTELO BIOSCIENCES INC *W EXP 06/25/202 04301G128 4 16403 SH SOLE 16403 0 0 ATLANTIC AVE ACQUISITION COR COM CL A 04906P101 124 12350 SH SOLE 12350 0 0 BARCLAYS BANK PLC IPTH SR B S&P 06746P621 252 15000 SH SOLE 15000 0 0 BARCLAYS BANK PLC IPTH SR B S&P 06746P621 1259 75000 SH Call SOLE 75000 0 0 BAUDAX BIO INC COM 07160F107 64 63000 SH Call SOLE 63000 0 0 BECTON DICKINSON & CO COM 075887109 245 979 SH SOLE 979 0 0 BENITEC BIOPHARMA INC COM 08205P100 30 10000 SH SOLE 10000 0 0 BIOHITECH GLOBAL INC COM 09074B107 27 24000 SH SOLE 24000 0 0 BLINK CHARGING CO COM 09354A100 2779 65000 SH Put SOLE 65000 0 0 BROADMARK RLTY CAP INC *W EXP 11/15/202 11135B118 1 10000 SH SOLE 10000 0 0 CARNIVAL CORP UNIT 99/99/9999 143658300 2643 122000 SH SOLE 122000 0 0 CARNIVAL CORP UNIT 99/99/9999 143658300 3754 173300 SH Put SOLE 173300 0 0 CBDMD INC COM 12482W101 59 20000 SH SOLE 20000 0 0 CHARDAN HEALTHCR ACQSTN 2 CO COM 15957T107 159 15577 SH SOLE 15577 0 0 CHEGG INC NOTE 0.125% 3/1 163092AD1 3138 1725000 PRN SOLE 0 0 1725000 CHEGG INC NOTE 0.250% 5/1 163092AB5 5053 1512000 PRN SOLE 0 0 1512000 CITIUS PHARMACEUTICALS INC COM NEW 17322U207 20 20000 SH SOLE 20000 0 0 CLENE INC *W EXP 11/07/202 185634110 7 14000 SH SOLE 14000 0 0 CNS PHARMACEUTICALS INC COM 18978H102 25 14000 SH SOLE 14000 0 0 CO-DIAGNOSTICS INC COM 189763105 112 12000 SH Put SOLE 12000 0 0 COUPA SOFTWARE INC NOTE 0.125% 6/1 22266LAC0 7490 3445000 PRN SOLE 0 0 3445000 CREATD INC *W EXP 09/15/202 225265115 12 12600 SH SOLE 12600 0 0 DASEKE INC *W EXP 02/27/202 23753F115 17 915000 SH SOLE 915000 0 0 DELWINDS INS ACQUISITION COR UNIT 99/99/9999 24803C201 144 14000 SH SOLE 14000 0 0 DEXCOM INC NOTE 0.750%12/0 252131AH0 5703 2504000 PRN SOLE 0 0 2504000 DIGITAL MEDIA SOLUTIONS INC *W EXP 07/15/202 25401G114 98 126637 SH SOLE 126637 0 0 DIREXION SHS ETF TR 20YR TRES BEAR 25460G849 810 15000 SH Call SOLE 15000 0 0 DOCUSIGN INC NOTE 0.500% 9/1 256163AB2 50 16000 PRN SOLE 0 0 16000 ELECTRAMECCANICA VEHS CORP *W EXP 08/03/202 284849114 69 18205 SH SOLE 18205 0 0 ENDRA LIFE SCIENCES INC COM 29273B104 15 20374 SH SOLE 20374 0 0 ENTERA BIO LTD *W EXP 07/02/202 M40527117 25 288725 SH SOLE 288725 0 0 ETSY INC NOTE 3/0 29786AAC0 744 1656000 PRN SOLE 0 0 1656000 FACEBOOK INC CL A 30303M102 1912 7000 SH Put SOLE 7000 0 0 FAT BRANDS INC *W EXP 06/30/202 30258N121 48 17900 SH SOLE 17900 0 0 FISKER INC *W EXP 12/01/202 33813J114 148 116000 SH SOLE 116000 0 0 FISKER INC CL A COM STK 33813J106 161 11000 SH Call SOLE 11000 0 0 FIVE9 INC NOTE 0.125% 5/0 338307AB7 21495 5111000 PRN SOLE 0 0 5111000 FORD MTR CO DEL COM 345370860 176 20000 SH Call SOLE 20000 0 0 GCM GROSVENOR INC *W EXP 11/17/202 36831E116 60 189714 SH SOLE 189714 0 0 GEOVAX LABS INC *W EXP 09/29/202 373678119 14 26975 SH SOLE 26975 0 0 GFL ENVIRONMENTAL INC UNIT 99/99/9999T 36168Q120 536 7638 SH SOLE 7638 0 0 GLOBAL BLUE GROUP HOLDING AG *W EXP 08/28/202 H33700115 4 15450 SH SOLE 15450 0 0 GLRY STR NW MDIA GRUP HLDG L *W EXP 02/13/202 G39973113 23 280000 SH SOLE 280000 0 0 GROWGENERATION CORP COM 39986L109 603 15000 SH SOLE 15000 0 0 GROWGENERATION CORP COM 39986L109 1810 45000 SH Put SOLE 45000 0 0 GSV CAP CORP NOTE 4.750% 3/2 36191JAC5 3389 2400000 PRN SOLE 0 0 2400000 GSX TECHEDU INC SPONSORED ADS 36257Y109 310 6000 SH Put SOLE 6000 0 0 HANNON ARMSTRONG SUST INFR C NOTE 4.125% 9/0 41068XAB6 7495 3199000 PRN SOLE 0 0 3199000 HC2 HLDGS INC COM 404139107 65 20000 SH Call SOLE 20000 0 0 HISTOGEN INC COM 43358Y103 56 74000 SH SOLE 74000 0 0 HOSTESS BRANDS INC *W EXP 11/04/202 44109J114 610 1093437 SH SOLE 1093437 0 0 HUBSPOT INC NOTE 0.250% 6/0 443573AB6 26054 6244000 PRN SOLE 0 0 6244000 HYCROFT MINING HOLDING CORP *W EXP 02/12/202 44862P117 4 73155 SH SOLE 73155 0 0 HYCROFT MINING HOLDING CORP COM CL A 44862P109 104 13282 SH SOLE 13282 0 0 IG ACQUISITION CORP COM CL A 449534106 130 12800 SH SOLE 12800 0 0 ILLUMINA INC NOTE 0.500% 6/1 452327AH2 625 427000 PRN SOLE 0 0 427000 IMAC HLDGS INC *W EXP 02/12/202 44967K112 24 105360 SH SOLE 105360 0 0 INDUSTRIAL TECH ACQU INC COM CL A 456357102 142 14000 SH SOLE 14000 0 0 INFRA AND ENERGY ALTRNTIVE I *W EXP 05/20/202 45686J112 804 679331 SH SOLE 679331 0 0 INNOVATIVE INDL PPTYS INC COM 45781V101 2948 16100 SH Put SOLE 16100 0 0 INPHI CORP NOTE 0.750% 9/0 45772FAC1 14432 5084000 PRN SOLE 0 0 5084000 INSEEGO CORP COM 45782B104 1026 66300 SH SOLE 66300 0 0 INSEEGO CORP COM 45782B104 1132 73200 SH Put SOLE 73200 0 0 INSEEGO CORP NOTE 3.250% 5/0 45782BAD6 149 110000 PRN SOLE 0 0 110000 INSULET CORP NOTE 1.375%11/1 45784PAH4 12832 4684000 PRN SOLE 0 0 4684000 INTL GNRL INSURANCE HLDNGS L *W EXP 03/17/202 G4809J114 249 630521 SH SOLE 630521 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 3137 10000 SH Call SOLE 10000 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 2196 7000 SH Put SOLE 7000 0 0 ISHARES SILVER TR ISHARES 46428Q109 1754 71400 SH Call SOLE 71400 0 0 ISHARES TR 20 YR TR BD ETF 464287432 3155 20000 SH Put SOLE 20000 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 2941 15000 SH Put SOLE 15000 0 0 J2 GLOBAL INC NOTE 3.250% 6/1 48123VAC6 5574 3807000 PRN SOLE 0 0 3807000 JPMORGAN CHASE & CO COM 46625H100 4447 35000 SH Call SOLE 35000 0 0 LANDCADIA HOLDINGS III INC COM CL A 51476H100 106 10143 SH SOLE 10143 0 0 LIBERTY MEDIA CORP DEL DEB 3.500% 1/1 530715AN1 11 11968 PRN SOLE 0 0 11968 LIONHEART ACQUISITION CORP I COM CL A 53625R104 107 10610 SH SOLE 10610 0 0 LIXTE BIOTECHNOLOGY HLDGS IN *W EXP 01/01/202 539319111 12 13001 SH SOLE 13001 0 0 MALACCA STRAITS ACQUISITION COM CL A G5859B117 192 19400 SH SOLE 19400 0 0 MCEWEN MNG INC COM 58039P107 107 108750 SH SOLE 108750 0 0 MEDIGUS LTD *W EXP 07/23/202 58471G128 10 54000 SH SOLE 54000 0 0 MEDIGUS LTD SPONSORED ADS 58471G300 25 13000 SH SOLE 13000 0 0 MERCADOLIBRE INC NOTE 2.000% 8/1 58733RAD4 7608 2000000 PRN SOLE 0 0 2000000 MICROCHIP TECHNOLOGY INC. NOTE 1.625% 2/1 595017AD6 11857 5615000 PRN SOLE 0 0 5615000 MONGODB INC NOTE 0.750% 6/1 60937PAB2 2460 468000 PRN SOLE 0 0 468000 MONTES ARCHIMEDES ACQUISITIO COM CL A 612657106 141 13900 SH SOLE 13900 0 0 NABORS INDUSTRIES LTD SHS G6359F137 2329 40000 SH Call SOLE 40000 0 0 NATIONAL HEALTH INVS INC NOTE 3.250% 4/0 63633DAE4 939 880000 PRN SOLE 0 0 880000 NEW ENGLAND RLTY ASSOC LTD P DEPOSITRY RCPT 644206104 230 4586 SH SOLE 4586 0 0 NEW FRONTIER HEALTH CORP *W EXP 11/30/202 G6461G114 118 54313 SH SOLE 54313 0 0 NEWHOLD INVESTMENT CORP COM CL A 651448102 239 23900 SH SOLE 23900 0 0 NEXTERA ENERGY INC UNIT 09/01/2022S 65339F796 2657 44998 SH SOLE 44998 0 0 NICE SYS INC NOTE 1.250% 1/1 65366HAB9 11855 3495000 PRN SOLE 0 0 3495000 NIKOLA CORP COM 654110105 549 36000 SH Put SOLE 36000 0 0 NIO INC SPON ADS 62914V106 634 13000 SH Put SOLE 13000 0 0 NORWEGIAN CRUISE LINE HLDG L SHS G66721104 1437 56500 SH SOLE 56500 0 0 NORWEGIAN CRUISE LINE HLDG L SHS G66721104 1439 56600 SH Put SOLE 56600 0 0 NOVAGOLD RES INC COM NEW 66987E206 152 15700 SH Call SOLE 15700 0 0 NUANCE COMMUNICATIONS INC DEBT 1.500%11/0 67020YAG5 986 2781000 PRN SOLE 0 0 2781000 ONCTERNAL THERAPEUTICS INC COM 68236P107 103 21000 SH Call SOLE 21000 0 0 OPTIMUMBANK HLDGS INC COM 68401P403 122 36213 SH SOLE 36213 0 0 PALO ALTO NETWORKS INC NOTE 0.750% 7/0 697435AD7 605 428000 PRN SOLE 0 0 428000 PAN AMERN SILVER CORP COM 697900108 518 15000 SH Call SOLE 15000 0 0 PERSHING SQUARE TONTINE HLDG COM CL A 71531R109 1106 39900 SH SOLE 39900 0 0 PERSHING SQUARE TONTINE HLDG COM CL A 71531R109 1017 36700 SH Put SOLE 36700 0 0 PINDUODUO INC NOTE 10/0 722304AB8 208 50000 PRN SOLE 0 0 50000 PROPERTY SOLUTIONS ACQUISITI *W EXP 03/20/202 74348Q116 23 21740 SH SOLE 21740 0 0 PROPERTY SOLUTIONS ACQUISITI COM 74348Q108 241 24075 SH SOLE 24075 0 0 PTK ACQUISITION CORP COM 69375F108 112 11000 SH SOLE 11000 0 0 PYXIS TANKERS INC *W EXP 09/15/202 Y71726122 3 21828 SH SOLE 21828 0 0 RAPID7 INC NOTE 1.250% 8/0 753422AB0 1101 505000 PRN SOLE 0 0 505000 RH NOTE 6/1 74967XAA1 6892 2937000 PRN SOLE 0 0 2937000 RINGCENTRAL INC NOTE 3/1 76680RAD9 260 56000 PRN SOLE 0 0 56000 RIOT BLOCKCHAIN INC COM 767292105 170 10000 SH Put SOLE 10000 0 0 SAILPOINT TECHNOLOGIES HLDGS NOTE 0.125% 9/1 78781PAB1 389 200000 PRN SOLE 0 0 200000 SEA LTD NOTE 1.000%12/0 81141RAD2 11912 3000000 PRN SOLE 0 0 3000000 SEABRIDGE GOLD INC COM 811916105 211 10000 SH Call SOLE 10000 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 2948 100000 SH Put SOLE 100000 0 0 SIERRA METALS INC COM 82639W106 60 18000 SH SOLE 18000 0 0 SPARTACUS ACQUISITION CORP CL A 84677L109 127 12600 SH SOLE 12600 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 53839 144000 SH Put SOLE 144000 0 0 SPIRIT AIRLS INC COM 848577102 587 24000 SH Call SOLE 24000 0 0 SQUARE INC NOTE 0.500% 5/1 852234AD5 10201 3630000 PRN SOLE 0 0 3630000 SURO CAPITAL CORP COM NEW 86887Q109 1253 95700 SH Put SOLE 95700 0 0 TAILWIND ACQUISITION CORP COM CL A 87403Q102 106 10160 SH SOLE 10160 0 0 TANGER FACTORY OUTLET CTRS I COM 875465106 289 29000 SH Call SOLE 29000 0 0 TATTOOED CHEF INC *W EXP 10/15/202 87663X110 151 40112 SH SOLE 40112 0 0 TATTOOED CHEF INC COM CL A 87663X102 206 9000 SH Put SOLE 9000 0 0 TERADYNE INC NOTE 1.250%12/1 880770AG7 12712 3355000 PRN SOLE 0 0 3355000 TESLA INC COM 88160R101 3528 5000 SH Call SOLE 5000 0 0 TESLA INC COM 88160R101 7057 10000 SH Put SOLE 10000 0 0 TESLA INC NOTE 2.000% 5/1 88160RAG6 17695 1566000 PRN SOLE 0 0 1566000 TESLA INC NOTE 2.375% 3/1 88160RAD3 39688 3715000 PRN SOLE 0 0 3715000 UTZ BRANDS INC COM CL A 918090101 419 19000 SH Put SOLE 19000 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 2882 80000 SH Call SOLE 80000 0 0 VELODYNE LIDAR INC COM 92259F101 328 14375 SH SOLE 14375 0 0 VELODYNE LIDAR INC COM 92259F101 454 19900 SH Put SOLE 19900 0 0 VERIFYME INC *W EXP 06/22/202 92346X115 41 40107 SH SOLE 40107 0 0 VIKING THERAPEUTICS INC *W EXP 04/13/202 92686J114 219 163536 SH SOLE 163536 0 0 VISTAS MEDIA ACQUISITION CO *W EXP 08/01/202 92840T115 15 17740 SH SOLE 17740 0 0 VISTAS MEDIA ACQUISITION CO COM CL A 92840T107 202 20000 SH SOLE 20000 0 0 VPC IMPACT ACQUISITION HLDNG SHS CL A G9441E100 145 14400 SH SOLE 14400 0 0 WAYFAIR INC NOTE 1.125%11/0 94419LAD3 7244 3608000 PRN SOLE 0 0 3608000 WILLSCOT MOBIL MINI HLDNG CO COM CL A 971378104 232 10000 SH Put SOLE 10000 0 0 WIX COM LTD NOTE 7/0 92940WAB5 3306 1790000 PRN SOLE 0 0 1790000 WORKDAY INC NOTE 0.250%10/0 98138HAF8 544 325000 PRN SOLE 0 0 325000 ZANITE ACQUISITION CORP UNIT 10/08/2025 98907K202 105 10000 SH SOLE 10000 0 0 ZILLOW GROUP INC NOTE 0.750% 9/0 98954MAE1 7484 2500000 PRN SOLE 0 0 2500000