Managing Member

0001567619-22-003999.txt : 20220214 0001567619-22-003999.hdr.sgml : 20220214 20220214115824 ACCESSION NUMBER: 0001567619-22-003999 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20211231 FILED AS OF DATE: 20220214 DATE AS OF CHANGE: 20220214 EFFECTIVENESS DATE: 20220214 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: 22627728 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 12-31-2021 12-31-2021 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 02-14-2022 0 200 539568 false INFORMATION TABLE 2 form13fInfoTable.xml ABEONA THERAPEUTICS INC COM 00289Y107 8 23200 SH SOLE 23200 0 0 ADITXT INC COM 007025109 21 39900 SH SOLE 39900 0 0 AETHERIUM ACQUISITION CORP UNIT 12/21/2026 00809J200 100 10000 SH SOLE 10000 0 0 AKAMAI TECHNOLOGIES INC NOTE 0.125% 5/0 00971TAJ0 3221 2452000 PRN SOLE 0 0 2452000 ALTAIR ENGR INC NOTE 0.250% 6/0 021369AA1 2051 1201000 PRN SOLE 0 0 1201000 ALTITUDE ACQUISITION CORP COM CL A 02156Y103 162 16400 SH SOLE 16400 0 0 AMERICAN EAGLE OUTFITTERS IN NOTE 3.750% 4/1 02553EAB2 97 32000 PRN SOLE 0 0 32000 AMPCO-PITTSBURG CORP *W EXP 08/01/202 032037111 25 42401 SH SOLE 42401 0 0 APPLE INC COM 037833100 2681 15100 SH Put SOLE 15100 0 0 APPLIED UV INC COM 03828V105 34 12500 SH SOLE 12500 0 0 ARCHIMEDES TECH SPAC PARTNR UNIT 99/99/9999 039562301 109 11000 SH SOLE 11000 0 0 AROGO CAPITAL ACQUISITION CO UNIT 99/99/9999 042644203 106 10600 SH SOLE 10600 0 0 ASHFORD HOSPITALITY TR INC COM SHS 044103869 96 10000 SH Call SOLE 10000 0 0 ATLANTIC AVE ACQUISITION COR COM CL A 04906P101 116 11850 SH SOLE 11850 0 0 ATLAS AIR WORLDWIDE HLDGS IN NOTE 1.875% 6/0 049164BJ4 389 239000 PRN SOLE 0 0 239000 ATLAS AIR WORLDWIDE HLDGS IN NOTE 2.250% 6/0 049164BH8 746 581000 PRN SOLE 0 0 581000 AVANTOR INC 6.25 PFD CNV SR 05352A209 16313 126255 SH SOLE 126255 0 0 AVENUE THERAPEUTICS INC COM NEW 05360L205 9 10001 SH SOLE 10001 0 0 AVIS BUDGET GROUP COM 053774105 228 1100 SH Put SOLE 1100 0 0 BARCLAYS BANK PLC IPTH SR B S&P 06747R477 826 44600 SH Call SOLE 44600 0 0 BIOFRONTERA INC *W EXP 10/27/202 09077D118 67 18487 SH SOLE 18487 0 0 BLACKLINE INC NOTE 0.125% 8/0 09239BAB5 2017 1339000 PRN SOLE 0 0 1339000 BLACKSKY TECHNOLOGY INC *W EXP 10/30/202 09263B116 35 63865 SH SOLE 63865 0 0 BLOCK INC NOTE 0.125% 3/0 852234AF0 1846 1241000 PRN SOLE 0 0 1241000 BLOCK INC NOTE 0.500% 5/1 852234AD5 104 50000 PRN SOLE 0 0 50000 BLUE OWL CAPITAL INC *W EXP 05/19/202 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SOLE 106250 0 0 CHESAPEAKE ENERGY CORP *W EXP 99/99/999 165167164 8396 210101 SH SOLE 210101 0 0 CINGULATE INC *W EXP 12/03/202 17248W113 40 56667 SH SOLE 56667 0 0 CLARUS THERAPEUTICS HLDNGS I *W EXP 08/11/202 18271L115 9 32502 SH SOLE 32502 0 0 CLEVER LEAVES HOLDINGS INC *W EXP 12/18/202 186760112 9 18686 SH SOLE 18686 0 0 CLOUDFLARE INC NOTE 0.750% 5/1 18915MAB3 17538 5000000 PRN SOLE 0 0 5000000 COINBASE GLOBAL INC COM CL A 19260Q107 656 2600 SH Put SOLE 2600 0 0 COLISEUM ACQUISITION CORP CLASS A ORD SHS G2263T123 146 15000 SH SOLE 15000 0 0 CONMED CORP NOTE 2.625% 2/0 207410AF8 483 290000 PRN SOLE 0 0 290000 CONX CORP COM CL A 212873103 148 15044 SH SOLE 15044 0 0 CREATD INC *W EXP 09/15/202 225265115 14 24545 SH SOLE 24545 0 0 DANAHER CORPORATION 4.75 MND CV PFD 235851300 16043 7312 SH SOLE 7312 0 0 DASEKE INC *W EXP 02/27/202 23753F115 96 717408 SH SOLE 717408 0 0 DATA STORAGE CORP *W EXP 05/13/202 23786R110 72 88300 SH SOLE 88300 0 0 DELWINDS INS ACQUISITION COR COM CLS A 24803C102 134 13500 SH SOLE 13500 0 0 DERMATA THERAPEUTICS INC *W EXP 08/13/202 249845116 22 51399 SH SOLE 51399 0 0 DICKS SPORTING GOODS INC NOTE 3.250% 4/1 253393AD4 560 158000 PRN SOLE 0 0 158000 DIGITAL BRANDS GROUP INC *W EXP 05/01/202 25401N119 17 32503 SH SOLE 32503 0 0 DIREXION SHS ETF TR 20YR TRES BEAR 25460G849 414 7600 SH Call SOLE 7600 0 0 DOORDASH INC CL A 25809K105 700 4700 SH Put SOLE 4700 0 0 DPCM CAP INC COM CL A 23344P101 118 12000 SH SOLE 12000 0 0 ELLIOTT OPPORTUNITY II CORP SHS CL A G30092103 98 10000 SH SOLE 10000 0 0 ENGINE GAMING AND MEDIA INC COM 29287W102 46 15000 SH Call SOLE 15000 0 0 ENTERA BIO LTD *W EXP 07/02/202 M40527117 4 14047 SH SOLE 14047 0 0 ENVISTA HOLDINGS CORPORATION NOTE 2.375% 6/0 29415FAB0 111 50000 PRN SOLE 0 0 50000 ESSENTIAL UTILS INC UNIT 04/30/2022 29670G201 2622 40220 SH SOLE 40220 0 0 ETSY INC NOTE 0.125%10/0 29786AAJ5 10220 4000000 PRN SOLE 0 0 4000000 EZFILL HOLDINGS INC COM NEW 302314208 17 12001 SH SOLE 12001 0 0 FORD MTR CO DEL COM 345370860 210 10100 SH Put SOLE 10100 0 0 FTI CONSULTING INC NOTE 2.000% 8/1 302941AP4 2515 1617000 PRN SOLE 0 0 1617000 G MED INNOVATIONS HLDGS LTD *W EXP 06/30/202 G39462117 4 12801 SH SOLE 12801 0 0 G&P ACQUISITION CORP COM CL A 36146G103 147 15000 SH SOLE 15000 0 0 GCM GROSVENOR INC *W EXP 11/17/202 36831E116 164 109001 SH SOLE 109001 0 0 GEE GROUP INC COM 36165A102 9 15001 SH SOLE 15001 0 0 GEOVAX LABS INC *W EXP 09/29/202 373678119 20 21087 SH SOLE 21087 0 0 GFL ENVIRONMENTAL INC UNIT 99/99/9999T 36168Q120 1795 20641 SH SOLE 20641 0 0 GLADSTONE ACQUISITION CORP CLASS A COM 37653T108 108 10828 SH SOLE 10828 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 12 24022 SH SOLE 24022 0 0 GUARDFORCE AI CO LTD *W EXP 09/01/202 G4236L120 31 61500 SH SOLE 61500 0 0 HANNON ARMSTRONG SUST INFR C NOTE 4.125% 9/0 41068XAB6 53 27000 PRN SOLE 0 0 27000 HANNON ARMSTRONG SUST INFR C NOTE 8/1 41068XAD2 3300 2782000 PRN SOLE 0 0 2782000 HARBOR CUSTOM DEVELOPMENT IN *W EXP 10/04/202 41150T124 69 89743 SH SOLE 89743 0 0 HCI GROUP INC NOTE 4.250% 3/0 40416EAD5 1651 1194000 PRN SOLE 0 0 1194000 HEARTBEAM INC *W EXP 10/31/202 42238H116 14 18638 SH SOLE 18638 0 0 HERCULES CAPITAL INC DBCV 4.375% 2/0 427096AF9 10643 10304000 PRN SOLE 0 0 10304000 HERTZ GLOBAL HLDGS INC *W EXP 06/30/205 42806J148 1780 111621 SH SOLE 111621 0 0 HIGHPEAK ENERGY INC *W EXP 08/21/202 43114Q121 89 17166 SH SOLE 17166 0 0 HOME DEPOT INC COM 437076102 1536 3700 SH Call SOLE 3700 0 0 II-VI INC 6% CONV PFD A 902104306 640 2262 SH SOLE 2262 0 0 II-VI INC NOTE 0.250% 9/0 902104AB4 3642 2460000 PRN SOLE 0 0 2460000 IMAC HLDGS INC *W EXP 02/12/202 44967K112 6 24313 SH SOLE 24313 0 0 INHIBIKASE THERAPEUTICS INC COM 45719W106 18 12494 SH SOLE 12494 0 0 INNOVATIVE INDL PPTYS INC COM 45781V101 894 3400 SH Put SOLE 3400 0 0 INSPIRA TECHNOLOGIES OXY BHN *W EXP 06/30/202 M53637118 18 20001 SH SOLE 20001 0 0 INTL GNRL INSURANCE HLDNGS L *W EXP 03/17/202 G4809J114 256 341391 SH SOLE 341391 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 8076 20300 SH Put SOLE 20300 0 0 ISHARES SILVER TR ISHARES 46428Q109 542 25200 SH Call SOLE 25200 0 0 ISHARES TR U.S. REAL ES ETF 464287739 592 5100 SH Put SOLE 5100 0 0 JATT ACQUISITION CORP SHS CL A G50752107 99 10000 SH SOLE 10000 0 0 JAWS HURRICANE ACQUISITN COR CLASS A COM 47201B103 109 11076 SH SOLE 11076 0 0 KALEYRA INC *W EXP 11/25/202 483379111 434 182270 SH SOLE 182270 0 0 KBR INC NOTE 2.500%11/0 48242WAB2 4424 2321000 PRN SOLE 0 0 2321000 KIROMIC BIOPHARMA INC COM 497634105 52 33815 SH SOLE 33815 0 0 LARKSPUR HEALTH ACQUISITION UNIT 12/20/2026 51724W206 120 12000 SH SOLE 12000 0 0 LIBERTY MEDIA CORP DEL NOTE 1.000% 1/3 531229AF9 5172 3000000 PRN SOLE 0 0 3000000 LIVEONE INC COM 53814X102 13 10000 SH SOLE 10000 0 0 LIXTE BIOTECHNOLOGY HLDGS IN *W EXP 01/01/202 539319111 8 17934 SH SOLE 17934 0 0 LUCID GROUP INC COM 549498103 521 13700 SH Put SOLE 13700 0 0 LUMENTUM HLDGS INC NOTE 0.250% 3/1 55024UAB5 5329 3000000 PRN SOLE 0 0 3000000 MACONDRAY CAP ACQUISITN CORP CLASS A ORD SHS G5853A107 148 15000 SH SOLE 15000 0 0 MALACCA STRAITS ACQUISITION COM CL A G5859B117 166 16269 SH SOLE 16269 0 0 MERCADOLIBRE INC NOTE 2.000% 8/1 58733RAD4 6442 2075000 PRN SOLE 0 0 2075000 MICROCHIP TECHNOLOGY INC. NOTE 1.625% 2/1 595017AF1 10009 3930000 PRN SOLE 0 0 3930000 MIDDLEBY CORP NOTE 1.000% 9/0 596278AB7 4168 2600000 PRN SOLE 0 0 2600000 MOBIQUITY TECHNOLOGIES INC *W EXP 12/03/202 60743F128 23 42501 SH SOLE 42501 0 0 MODERNA INC COM 60770K107 381 1501 SH SOLE 1501 0 0 MODERNA INC COM 60770K107 406 1600 SH Put SOLE 1600 0 0 MUDRICK CAPITAL ACQU CORP II COM CL A 62477L107 913 91856 SH SOLE 91856 0 0 NEUROSENSE THERAPEUTICS LTD *W EXP 99/99/999 M74240116 61 66606 SH SOLE 66606 0 0 NEUROSENSE THERAPEUTICS LTD ORDINARY SHARES M74240108 38 15501 SH SOLE 15501 0 0 NEW ENGLAND RLTY ASSOC LTD P DEPOSITRY RCPT 644206104 339 5001 SH SOLE 5001 0 0 NEWBURY STREET ACQUISITN COR COM 65101L104 194 20000 SH SOLE 20000 0 0 NEXTERA ENERGY INC UNIT 09/01/2022S 65339F796 2034 29867 SH SOLE 29867 0 0 NEXTNAV INC *W EXP 10/28/202 65345N114 112 66000 SH SOLE 66000 0 0 NICE SYS INC NOTE 1.250% 1/1 65366HAB9 1994 547000 PRN SOLE 0 0 547000 NOBLE ROCK ACQUISITION CORP CL A SHS G6546R101 207 21324 SH SOLE 21324 0 0 NOVA LTD NOTE 10/1 66980MAB2 5483 2760000 PRN SOLE 0 0 2760000 NOVAGOLD RES INC COM NEW 66987E206 144 21000 SH Call SOLE 21000 0 0 NUANCE COMMUNICATIONS INC NOTE 1.250% 4/0 67020YAN0 21864 7743000 PRN SOLE 0 0 7743000 OCCIDENTAL PETE CORP *W EXP 08/03/202 674599162 1373 108885 SH SOLE 108885 0 0 ON SEMICONDUCTOR CORP NOTE 1.625%10/1 682189AP0 18843 5747000 PRN SOLE 0 0 5747000 OPTIMUMBANK HLDGS INC COM 68401P403 67 17114 SH SOLE 17114 0 0 ORBSAT CORP *W EXP 04/29/202 68557F118 134 119654 SH SOLE 119654 0 0 PALO ALTO NETWORKS INC NOTE 0.750% 7/0 697435AD7 11797 5622000 PRN SOLE 0 0 5622000 PASITHEA THERAPEUTICS CORP *W EXP 08/12/202 70261F111 81 218920 SH SOLE 218920 0 0 PAVMED INC *W EXP 04/30/202 70387R122 543 339517 SH SOLE 339517 0 0 PENN NATL GAMING INC NOTE 2.750% 5/1 707569AU3 47 20000 PRN SOLE 0 0 20000 PEPPERLIME HEALTH ACQUSTN CO CLASS A ORD SHS G70021103 139 14136 SH SOLE 14136 0 0 PERSHING SQUARE TONTINE HLDG COM CL A 71531R109 592 30001 SH SOLE 30001 0 0 PETVIVO HLDGS INC *W EXP 08/13/202 716817119 34 60508 SH SOLE 60508 0 0 PINE TECHNOLOGY ACQUISITN CO CLASS A COM 722850104 172 17502 SH SOLE 17502 0 0 PLANET LABS PBC *W EXP 12/06/202 72703X114 19 10000 SH SOLE 10000 0 0 PLUG PWR INC NOTE 3.750% 6/0 72919PAD5 19587 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 1098 65000 SH Call SOLE 65000 0 0 PROTAGENIC THERAPEUTICS INC *W EXP 04/13/202 74365N111 69 181534 SH SOLE 181534 0 0 PTC INC COM 69370C100 993 8200 SH Put SOLE 8200 0 0 PYXIS TANKERS INC *W EXP 09/15/202 Y71726122 12 81744 SH SOLE 81744 0 0 PYXIS TANKERS INC 7.75% CNV PFD A Y71726114 210 15307 SH SOLE 15307 0 0 PYXIS TANKERS INC COM Y71726106 12 25001 SH SOLE 25001 0 0 Q2 HLDGS INC NOTE 0.750% 2/1 74736LAB5 3444 2400000 PRN SOLE 0 0 2400000 RAMBUS INC DEL NOTE 1.375% 2/0 750917AG1 3105 1977000 PRN SOLE 0 0 1977000 RELIANCE GLOBAL GROUP INC *W EXP 02/01/202 75946W116 34 30156 SH SOLE 30156 0 0 REVANCE THERAPEUTICS INC COM 761330109 178 10900 SH Call SOLE 10900 0 0 RH NOTE 6/1 74967XAA1 9840 3432000 PRN SOLE 0 0 3432000 RH NOTE 9/1 74967XAD5 10908 4310000 PRN SOLE 0 0 4310000 ROSECLIFF ACQUISITION CORP I COM CL A 77732R103 158 16077 SH SOLE 16077 0 0 SABRE CORP 6.50% CONV PFD A 78573M203 1400 12194 SH SOLE 12194 0 0 SAILPOINT TECHNOLOGIES HLDGS NOTE 0.125% 9/1 78781PAB1 356 200000 PRN SOLE 0 0 200000 SEA LTD NOTE 2.375%12/0 81141RAF7 8966 3500000 PRN SOLE 0 0 3500000 SEQLL INC *W EXP 08/31/202 81734C114 19 22795 SH SOLE 22795 0 0 SERVICENOW INC NOTE 6/0 81762PAC6 1443 300000 PRN SOLE 0 0 300000 SHAPEWAYS HOLDINGS INC *W EXP 99/99/999 81947T110 8 14669 SH SOLE 14669 0 0 SILICON LABORATORIES INC NOTE 0.625% 6/1 826919AD4 834 475000 PRN SOLE 0 0 475000 SIXTH STREET SPECIALTY LENDN NOTE 4.500% 8/0 87265KAD4 529 415000 PRN SOLE 0 0 415000 SIYATA MOBILE INC *W EXP 09/24/202 83013Q152 34 42426 SH SOLE 42426 0 0 SNAP INC NOTE 0.250% 5/0 83304AAD8 8886 4000000 PRN SOLE 0 0 4000000 SOUTHWEST AIRLS CO NOTE 1.250% 5/0 844741BG2 2392 1791000 PRN SOLE 0 0 1791000 SPDR S&P 500 ETF TR TR UNIT 78462F103 2422 5100 SH Call SOLE 5100 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 179440 377800 SH Put SOLE 377800 0 0 SPIRE GLOBAL INC *W EXP 08/16/202 848560116 13 29800 SH SOLE 29800 0 0 SPLASH BEVERAGE GROUP INC *W EXP 99/99/999 84862C112 13 40712 SH SOLE 40712 0 0 SPREE ACQUISITION CORP 1 LTD UNIT 99/99/9999 G83745110 130 13000 SH SOLE 13000 0 0 STARWOOD WAYPOINT HOMES NOTE 3.500% 1/1 19625XAB8 6522 3275000 PRN SOLE 0 0 3275000 STRAN & COMPANY INC *W EXP 11/01/202 86260J110 318 281123 SH SOLE 281123 0 0 SURGEPAYS INC *W EXP 10/22/202 86882L113 34 60000 SH SOLE 60000 0 0 SURO CAPITAL CORP COM NEW 86887Q109 174 13398 SH SOLE 13398 0 0 SURO CAPITAL CORP COM NEW 86887Q109 637 49200 SH Put SOLE 49200 0 0 TALKSPACE INC *W EXP 06/21/202 87427V111 29 125002 SH SOLE 125002 0 0 TASTEMAKER ACQUISITION CORP COM CL A 876545104 143 14500 SH SOLE 14500 0 0 TERADYNE INC NOTE 1.250%12/1 880770AG7 222 43000 PRN SOLE 0 0 43000 TESLA INC COM 88160R101 2748 2600 SH Put SOLE 2600 0 0 THE TRADE DESK INC COM CL A 88339J105 467 5100 SH Put SOLE 5100 0 0 TMC THE METALS COMPANY INC COM 87261Y106 23 11100 SH Call SOLE 11100 0 0 TROIKA MEDIA GROUP INC *W EXP 04/13/202 89689F115 53 219043 SH SOLE 219043 0 0 VANECK ETF TRUST GOLD MINERS ETF 92189F106 650 20300 SH Call SOLE 20300 0 0 VARONIS SYS INC NOTE 1.250% 8/1 922280AB8 3435 2000000 PRN SOLE 0 0 2000000 VERIFYME INC *W EXP 06/22/202 92346X115 65 57158 SH SOLE 57158 0 0 VIAVI SOLUTIONS INC NOTE 1.000% 3/0 925550AB1 317 224000 PRN SOLE 0 0 224000 VICARIOUS SURGICAL INC *W EXP 08/05/202 92561V117 26 12000 SH SOLE 12000 0 0 VICINITY MOTOR CORP COM 925654105 65 18501 SH SOLE 18501 0 0 VISTA GOLD CORP COM NEW 927926303 55 78110 SH SOLE 78110 0 0 WAYFAIR INC NOTE 1.125%11/0 94419LAD3 6236 3555000 PRN SOLE 0 0 3555000 WHOLE EARTH BRANDS INC *W EXP 06/25/202 96684W126 59 50000 SH SOLE 50000 0 0 WORKDAY INC NOTE 0.250%10/0 98138HAF8 4373 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