Managing Member

0001567619-21-020204.txt : 20211115 0001567619-21-020204.hdr.sgml : 20211115 20211115111552 ACCESSION NUMBER: 0001567619-21-020204 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211115 DATE AS OF CHANGE: 20211115 EFFECTIVENESS DATE: 20211115 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: 211407602 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 09-30-2021 09-30-2021 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 11-15-2021 0 196 616682 false INFORMATION TABLE 2 form13fInfoTable.xml AGRIFORCE GROWING SYSTEMS LT *W EXP 02/01/202 C00948114 32 57461 SH SOLE 57461 0 0 AKAMAI TECHNOLOGIES INC NOTE 0.125% 5/0 00971TAJ0 3036 2500000 PRN SOLE 0 0 2500000 ALFI INC *W EXP 04/29/202 00161P117 75 20017 SH SOLE 20017 0 0 ALTAIR ENGR INC NOTE 0.250% 6/0 021369AA1 312 201000 PRN SOLE 0 0 201000 ALTITUDE ACQUISITION CORP COM CL A 02156Y103 161 16400 SH SOLE 16400 0 0 ALZAMEND NEURO INC COM NEW 02262M308 43 14000 SH SOLE 14000 0 0 AMERICAN EAGLE OUTFITTERS IN NOTE 3.750% 4/1 02553EAB2 98 32000 PRN SOLE 0 0 32000 AMPCO-PITTSBURG CORP *W EXP 08/01/202 032037111 71 84800 SH SOLE 84800 0 0 APPLE INC COM 037833100 2476 17500 SH Put SOLE 17500 0 0 ARCHIMEDES TECH SPAC PARTNR UNIT 99/99/9999 039562301 108 11000 SH SOLE 11000 0 0 ARK ETF TR INNOVATION ETF 00214Q104 1105 10000 SH Put SOLE 10000 0 0 ASHFORD HOSPITALITY TR INC COM SHS 044103869 383 26000 SH Call SOLE 26000 0 0 ASTRA SPACE INC *W EXP 08/04/202 04634X111 249 104873 SH SOLE 104873 0 0 ATLANTIC AVE ACQUISITION COR COM CL A 04906P101 116 11850 SH SOLE 11850 0 0 ATLAS AIR WORLDWIDE HLDGS IN NOTE 2.250% 6/0 049164BH8 353 300000 PRN SOLE 0 0 300000 AUDDIA INC *W EXP 10/17/202 05072K115 52 69800 SH SOLE 69800 0 0 BARCLAYS BANK PLC IPTH SR B S&P 06747R477 1670 60000 SH Call SOLE 60000 0 0 BLACKLINE INC NOTE 0.125% 8/0 09239BAB5 2247 1339000 PRN SOLE 0 0 1339000 BLACKSKY TECHNOLOGY INC *W EXP 10/30/202 09263B116 200 126760 SH SOLE 126760 0 0 BM TECHNOLOGIES INC *W EXP 01/04/202 05591L115 96 64160 SH SOLE 64160 0 0 BRIACELL THERAPEUTICS CORP *W EXP 02/24/202 10778Y112 130 27000 SH SOLE 27000 0 0 BTRS HOLDINGS INC *W EXP 01/12/202 11778X112 85 32400 SH SOLE 32400 0 0 BURGERFI INTERNATIONAL INC *W EXP 12/16/202 12122L119 22 13657 SH SOLE 13657 0 0 CANOO INC *W EXP 12/21/202 13803R110 28 15000 SH SOLE 15000 0 0 CASTOR MARITIME INC SHS NEW Y1146L125 24 10000 SH SOLE 10000 0 0 CELULARITY 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ELLIOTT OPPORTUNITY II CORP SHS CL A G30092103 97 10000 SH SOLE 10000 0 0 ENTERA BIO LTD *W EXP 07/02/202 M40527117 23 45001 SH SOLE 45001 0 0 ESSENTIAL UTILS INC UNIT 04/30/2022 29670G201 2065 35990 SH SOLE 35990 0 0 ETSY INC NOTE 0.125%10/0 29786AAJ5 6226 2564000 PRN SOLE 0 0 2564000 EZFILL HOLDINGS INC COM NEW 302314208 102 25000 SH SOLE 25000 0 0 FAR PEAK ACQUISITION CORP SHS CL A G3312L103 198 19900 SH SOLE 19900 0 0 FORD MTR CO DEL COM 345370860 680 48000 SH Call SOLE 48000 0 0 FTI CONSULTING INC NOTE 2.000% 8/1 302941AP4 2235 1597000 PRN SOLE 0 0 1597000 G MED INNOVATIONS HLDGS LTD *W EXP 06/30/202 G39462117 10 25600 SH SOLE 25600 0 0 G&P ACQUISITION CORP COM CL A 36146G103 148 15000 SH SOLE 15000 0 0 GCM GROSVENOR INC *W EXP 11/17/202 36831E116 575 288705 SH SOLE 288705 0 0 GEE GROUP INC COM 36165A102 14 30000 SH SOLE 30000 0 0 GEOVAX LABS INC *W EXP 09/29/202 373678119 49 35000 SH SOLE 35000 0 0 GLADSTONE ACQUISITION CORP UNIT 04/01/2024 37653T207 115 11329 SH SOLE 11329 0 0 GLOBAL CONSUMER ACQUISITN CO *W EXP 05/21/202 37892B116 5 10000 SH SOLE 10000 0 0 GLOBAL CONSUMER ACQUISITN CO COM 37892B108 198 20000 SH SOLE 20000 0 0 GROM SOCIAL ENTERPRISES INC *W EXP 06/17/202 39878L118 184 161100 SH SOLE 161100 0 0 GUARDFORCE AI CO LTD *W EXP 09/01/202 G4236L120 19 23250 SH SOLE 23250 0 0 HARBOR CUSTOM DEVELOPMENT IN *W EXP 05/09/202 41150T116 54 96000 SH SOLE 96000 0 0 HCI GROUP INC NOTE 4.250% 3/0 40416EAD5 2185 1194000 PRN SOLE 0 0 1194000 HERCULES CAPITAL INC DBCV 4.375% 2/0 427096AF9 4186 4004000 PRN SOLE 0 0 4004000 HHG CAPITAL CORPORATION UNIT 02/25/2026 G4R23P137 103 10092 SH SOLE 10092 0 0 HIGHPEAK ENERGY INC *W EXP 08/21/202 43114Q121 66 29479 SH SOLE 29479 0 0 HOSTESS BRANDS INC *W EXP 11/04/202 44109J114 148 49603 SH SOLE 49603 0 0 HUBSPOT INC NOTE 0.250% 6/0 443573AB6 2319 325000 PRN SOLE 0 0 325000 HUMACYTE INC *W EXP 09/21/202 44486Q111 103 35662 SH SOLE 35662 0 0 HYCROFT MINING HOLDING CORP *W EXP 10/06/202 44862P133 18 51158 SH SOLE 51158 0 0 IMAC HLDGS INC *W EXP 02/12/202 44967K112 28 66215 SH SOLE 66215 0 0 INFRA AND ENERGY ALTRNTIVE I *W EXP 03/27/202 45686J112 1509 1278607 SH SOLE 1278607 0 0 INHIBIKASE THERAPEUTICS INC COM 45719W106 49 26000 SH SOLE 26000 0 0 INNOVATIVE INDL PPTYS INC COM 45781V101 1942 8400 SH Put SOLE 8400 0 0 INSEEGO CORP COM 45782B104 488 73200 SH SOLE 73200 0 0 INSEEGO CORP COM 45782B104 488 73200 SH Put SOLE 73200 0 0 INSPIRA TECHNOLOGIES OXY BHN *W EXP 06/30/202 M53637118 26 31100 SH SOLE 31100 0 0 INSULET CORP NOTE 0.375% 9/0 45784PAK7 278 199000 PRN SOLE 0 0 199000 INSULET CORP NOTE 1.375%11/1 45784PAH4 1898 623000 PRN SOLE 0 0 623000 INTL GNRL INSURANCE HLDNGS L *W EXP 03/17/202 G4809J114 458 649842 SH SOLE 649842 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 1790 5000 SH SOLE 5000 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 8949 25000 SH Put SOLE 25000 0 0 ISHARES SILVER TR ISHARES 46428Q109 2257 110000 SH Call SOLE 110000 0 0 ISHARES TR 20 YR TR BD ETF 464287432 3608 25000 SH Put SOLE 25000 0 0 JATT ACQUISITION CORP SHS CL A G50752107 99 10000 SH SOLE 10000 0 0 JAWS HURRICANE ACQUISITN COR CLASS A COM 47201B103 108 11076 SH SOLE 11076 0 0 JERASH HLDGS US INC COM 47632P101 67 10000 SH SOLE 10000 0 0 JUPITER WELLNESS INC COM NEW 48208F105 23 16000 SH SOLE 16000 0 0 KALEYRA INC *W EXP 11/25/202 483379111 373 136046 SH SOLE 136046 0 0 KBR INC NOTE 2.500%11/0 48242WAB2 3325 2065000 PRN SOLE 0 0 2065000 KIROMIC BIOPHARMA INC COM 497634105 37 12000 SH SOLE 12000 0 0 KNOWLES CORP NOTE 3.250%11/0 49926DAB5 2044 2010000 PRN SOLE 0 0 2010000 LEGATO MERGER CORP *W EXP 12/31/202 52473X114 38 15000 SH SOLE 15000 0 0 LIBERTY MEDIA CORP DEL DEB 3.500% 1/1 530715AN1 16 12968 PRN SOLE 0 0 12968 LIXTE BIOTECHNOLOGY HLDGS IN *W EXP 01/01/202 539319111 20 35996 SH SOLE 35996 0 0 MACONDRAY CAP ACQUISITN CORP CLASS A ORD SHS G5853A107 148 15000 SH SOLE 15000 0 0 MALACCA STRAITS ACQUISITION COM CL A G5859B117 162 16269 SH SOLE 16269 0 0 MEDIGUS LTD *W EXP 07/23/202 58471G128 9 18450 SH SOLE 18450 0 0 MERCADOLIBRE INC NOTE 2.000% 8/1 58733RAD4 6627 1734000 PRN SOLE 0 0 1734000 METROMILE INC *W EXP 02/09/202 591697115 17 20000 SH SOLE 20000 0 0 MICROCHIP TECHNOLOGY INC. NOTE 1.625% 2/1 595017AD6 17166 5073000 PRN SOLE 0 0 5073000 MICROCHIP TECHNOLOGY INC. NOTE 2.250% 2/1 595017AH7 3404 1480000 PRN SOLE 0 0 1480000 MIDDLEBY CORP NOTE 1.000% 9/0 596278AB7 3718 2600000 PRN SOLE 0 0 2600000 MODERNA INC COM 60770K107 3464 9000 SH Put SOLE 9000 0 0 MUDRICK CAPITAL ACQU CORP II COM CL A 62477L107 2302 231400 SH SOLE 231400 0 0 MUDRICK CAPITAL ACQU CORP II COM CL A 62477L107 199 20000 SH Put SOLE 20000 0 0 NEW ENGLAND RLTY ASSOC LTD P DEPOSITRY RCPT 644206104 737 12090 SH SOLE 12090 0 0 NEWBURY STREET ACQUISITN COR *W EXP 04/30/202 65101L112 5 10000 SH SOLE 10000 0 0 NEWBURY STREET ACQUISITN COR COM 65101L104 194 20000 SH SOLE 20000 0 0 NEXTERA ENERGY INC UNIT 09/01/2022S 65339F796 2799 47833 SH SOLE 47833 0 0 NEXTERA ENERGY INC UNIT 99/99/9999 65339F770 1529 30000 SH SOLE 30000 0 0 NICE SYS INC NOTE 1.250% 1/1 65366HAB9 1828 536000 PRN SOLE 0 0 536000 NIKOLA CORP COM 654110105 373 35000 SH Put SOLE 35000 0 0 NLS PHARMACEUTICS LTD *W EXP 09/25/202 H57830111 29 35480 SH SOLE 35480 0 0 NOBLE ROCK ACQUISITION CORP CL A SHS G6546R101 207 21324 SH SOLE 21324 0 0 NOVAGOLD RES INC COM NEW 66987E206 108 15700 SH Call SOLE 15700 0 0 NUANCE COMMUNICATIONS INC DBCV 1.000%12/1 67020YAK6 46 20000 PRN SOLE 0 0 20000 NUANCE COMMUNICATIONS INC NOTE 1.250% 4/0 67020YAN0 21771 7743000 PRN SOLE 0 0 7743000 ON SEMICONDUCTOR CORP NOTE 1.625%10/1 682189AP0 12284 5450000 PRN SOLE 0 0 5450000 OPTIMUMBANK HLDGS INC COM 68401P403 98 19000 SH SOLE 19000 0 0 ORBSAT CORP *W EXP 04/29/202 68557F118 45 16000 SH SOLE 16000 0 0 PALO ALTO NETWORKS INC NOTE 0.750% 7/0 697435AD7 10404 5722000 PRN SOLE 0 0 5722000 PAN AMERN SILVER CORP COM 697900108 384 16500 SH Call SOLE 16500 0 0 PARABELLUM ACQUISITION CORP UNIT 99/99/9999 69901P208 110 11000 SH SOLE 11000 0 0 PAVMED INC *W EXP 04/30/202 70387R122 3095 445899 SH SOLE 445899 0 0 PELOTON INTERACTIVE INC CL A COM 70614W100 348 4000 SH Put SOLE 4000 0 0 PENN NATL GAMING INC NOTE 2.750% 5/1 707569AU3 2967 928000 PRN SOLE 0 0 928000 PERSHING SQUARE TONTINE HLDG COM CL A 71531R109 690 35000 SH SOLE 35000 0 0 PETVIVO HLDGS INC *W EXP 08/13/202 716817119 50 65180 SH SOLE 65180 0 0 PINE IS ACQUISITION CORP CL A 722615101 146 15000 SH SOLE 15000 0 0 PINE TECHNOLOGY ACQUISITN CO CLASS A COM 722850104 169 17502 SH SOLE 17502 0 0 PLUG POWER INC NOTE 3.750% 6/0 72919PAD5 17784 3485000 PRN SOLE 0 0 3485000 PROPERTY SOLUTIONS ACQUISITI COM CL A 74350A108 155 16000 SH SOLE 16000 0 0 PROSHARES TR PSHS ULTSH 20YRS 74347B201 440 24000 SH Call SOLE 24000 0 0 PROSHARES TR ULTRASHRT S&P500 74347B383 124 14000 SH SOLE 14000 0 0 PROTAGENIC THERAPEUTICS INC *W EXP 04/13/202 74365N111 143 364791 SH SOLE 364791 0 0 PURECYCLE TECHNOLOGIES INC COM 74623V103 212 16000 SH Put SOLE 16000 0 0 PYXIS TANKERS INC *W EXP 09/15/202 Y71726122 25 97485 SH SOLE 97485 0 0 PYXIS TANKERS INC COM Y71726106 38 50000 SH SOLE 50000 0 0 Q2 HLDGS INC NOTE 0.750% 2/1 74736LAB5 3332 2309000 PRN SOLE 0 0 2309000 QUANTUMSCAPE CORP COM CL A 74767V109 417 17000 SH Call SOLE 17000 0 0 RAMBUS INC DEL NOTE 1.375% 2/0 750917AG1 1235 977000 PRN 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5/0 844741BG2 2550 1706000 PRN SOLE 0 0 1706000 SPDR S&P 500 ETF TR TR UNIT 78462F103 2146 5000 SH Call SOLE 5000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 222295 518000 SH Put SOLE 518000 0 0 SPIRE GLOBAL INC *W EXP 01/01/203 848560116 77 45370 SH SOLE 45370 0 0 SPLASH BEVERAGE GROUP INC *W EXP 99/99/999 84862C112 24 44912 SH SOLE 44912 0 0 SQUARE INC NOTE 0.125% 3/0 852234AF0 3210 1581000 PRN SOLE 0 0 1581000 SQUARE INC NOTE 0.500% 5/1 852234AD5 5490 1782000 PRN SOLE 0 0 1782000 SURO CAPITAL CORP COM NEW 86887Q109 838 64929 SH SOLE 64929 0 0 SURO CAPITAL CORP COM NEW 86887Q109 635 49200 SH Put SOLE 49200 0 0 TASTEMAKER ACQUISITION CORP COM CL A 876545104 143 14500 SH SOLE 14500 0 0 TESLA INC COM 88160R101 7755 10000 SH Put SOLE 10000 0 0 TESLA INC NOTE 2.000% 5/1 88160RAG6 212 17000 PRN SOLE 0 0 17000 TESLA INC NOTE 2.375% 3/1 88160RAD3 29691 2510000 PRN SOLE 0 0 2510000 TROIKA MEDIA GROUP INC *W EXP 04/13/202 89689F115 202 565647 SH SOLE 565647 0 0 VANECK ETF TRUST GOLD MINERS ETF 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