Managing Member

0001597506-22-000008.txt : 20220811 0001597506-22-000008.hdr.sgml : 20220811 20220811064636 ACCESSION NUMBER: 0001597506-22-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220630 FILED AS OF DATE: 20220811 DATE AS OF CHANGE: 20220811 EFFECTIVENESS DATE: 20220811 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: 221153581 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 false false 0001597506 XXXXXXXX 028-20991 06-30-2022 06-30-2022 Warberg Asset Management LLC

716 OAK STREET WINNETKA IL 60093

13F HOLDINGS REPORT 028-20991 N Daniel I Warsh Managing Member 8474188333 Daniel Warsh Winnetka, IL. IL 08-10-2022 0 251 454979 INFORMATION TABLE 2 information_table.xml PEPPERLIME HEALTH ACQUSTN CO CLASS A ORD SHS G70021103 170 31279 SH SOLE 31279 0 0 EXXON MOBIL CORP CALL 30231G902 856 10000 SH Call SOLE 10000 0 0 SELECT SECTOR SPDR TR CALL 81369Y906 322 4500 SH Call SOLE 4500 0 0 BARCLAYS BANK PLC CALL 06747R907 231 10000 SH Call SOLE 10000 0 0 TESLA INC PUT 88160R951 2424 3600 SH Put SOLE 3600 0 0 SIERRA ONCOLOGY INC PUT 82640U954 11718 213100 SH Put SOLE 213100 0 0 SOUTHERN CO PUT 842587957 713 10000 SH Put SOLE 10000 0 0 ISHARES SILVER TR CALL 46428Q909 932 50000 SH Call SOLE 50000 0 0 REVLON INC PUT 761525959 217 40000 SH Put SOLE 40000 0 0 REDBOX ENTERTAINMENT INC PUT 75724T953 370 50000 SH Put SOLE 50000 0 0 INVESCO QQQ TR PUT 46090E953 23824 85000 SH Put SOLE 85000 0 0 INVESCO QQQ TR CALL 46090E903 4204 15000 SH Call SOLE 15000 0 0 PTC INC PUT 69370C950 659 6200 SH Put SOLE 6200 0 0 PAN AMERN SILVER CORP CALL 697900908 299 15200 SH Call SOLE 15200 0 0 INVITAE CORP CALL 46185L903 85 35000 SH Call SOLE 35000 0 0 NETFLIX INC CALL 64110L906 525 3000 SH Call SOLE 3000 0 0 MICROSTRATEGY INC PUT 594972958 361 2200 SH Put SOLE 2200 0 0 MCDONALDS CORP PUT 580135951 5678 23000 SH Put SOLE 23000 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 1962 7000 SH SOLE 7000 0 0 ROBINHOOD MKTS INC PUT 770700952 247 30000 SH Put SOLE 30000 0 0 GAMESTOP CORP NEW PUT 36467W959 612 5000 SH Put SOLE 5000 0 0 VANECK ETF TRUST CALL 92189F906 2166 79100 SH Call SOLE 79100 0 0 FISKER INC PUT 33813J956 1591 185700 SH Put SOLE 185700 0 0 EVOFEM BIOSCIENCES INC CALL 30048L903 45 40000 SH Call SOLE 40000 0 0 DRAFTKINGS INC NEW PUT 26142V955 140 12000 SH Put SOLE 12000 0 0 CANTALOUPE INC CALL 138103906 469 83800 SH Call SOLE 83800 0 0 ACTIVISION BLIZZARD INC CALL 00507V909 4858 62400 SH Call SOLE 62400 0 0 SOUTHWESTERN ENERGY CO CALL 845467909 110 17600 SH Call SOLE 17600 0 0 SOUTHWESTERN ENERGY CO COM 845467109 63 10000 SH SOLE 10000 0 0 DASEKE INC CALL 23753F907 102 16000 SH Call SOLE 16000 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99/99/999 87200P117 9 11500 SH SOLE 11500 0 0 CEA INDUSTRIES INC *W EXP 02/11/202 86887P119 47 234595 SH SOLE 234595 0 0 SURGEPAYS INC *W EXP 10/22/202 86882L113 563 469545 SH SOLE 469545 0 0 STRAN & COMPANY INC *W EXP 11/01/202 86260J110 39 154575 SH SOLE 154575 0 0 STANLEY BLACK & DECKER INC UNIT 11/15/2022 854502846 1108 16442 SH SOLE 16442 0 0 SPLASH BEVERAGE GROUP INC *W EXP 06/15/202 84862C112 208 288878 SH SOLE 288878 0 0 SPIRE GLOBAL INC *W EXP 08/16/202 848560116 4 28867 SH SOLE 28867 0 0 SOUTHERN CO UNIT 08/01/2022 842587602 604 11401 SH SOLE 11401 0 0 SOUTH JERSEY INDS INC UNIT 04/01/2024 838518306 1768 26037 SH SOLE 26037 0 0 SOLENO THERAPEUTICS INC COM NEW 834203200 16 90000 SH SOLE 90000 0 0 SMART FOR LIFE INC COMMON STOCK 83204U103 6 12000 SH SOLE 12000 0 0 CONNEXA SPORTS TECHNOLOGIES COM NEW 831445200 266 179515 SH SOLE 179515 0 0 SILICON LABORATORIES INC NOTE 0.625% 6/1 826919AD4 2014 1552000 PRN SOLE 0 0 1552000 SHARPS TECHNOLOGY INC W EXP 04/13/202 82003F119 11 38847 SH SOLE 38847 0 0 SHAPEWAYS HOLDINGS INC *W EXP 10/31/202 81947T110 1 14668 SH SOLE 14668 0 0 SEQLL INC *W EXP 08/31/202 81734C114 3 22795 SH SOLE 22795 0 0 SAVERONE 2014 LTD W EXP 05/04/202 80516T113 51 146052 SH SOLE 146052 0 0 SAVERONE 2014 LTD SPONSORED ADS 80516T105 53 22800 SH SOLE 22800 0 0 ROSECLIFF ACQUISITION CORP I COM CL A 77732R103 158 16077 SH SOLE 16077 0 0 RELIANCE GLOBAL GROUP INC *W EXP 02/01/202 75946W116 22 59593 SH SOLE 59593 0 0 REDBOX ENTERTAINMENT INC *W EXP 12/15/202 75724T111 66 124015 SH SOLE 124015 0 0 RAPID7 INC NOTE 2.250% 5/0 753422AD6 63 50000 PRN SOLE 0 0 50000 RAMBUS INC DEL NOTE 1.375% 2/0 750917AG1 2978 2482000 PRN SOLE 0 0 2482000 RH NOTE 9/1 74967XAD5 3277 2725000 PRN SOLE 0 0 2725000 RH NOTE 6/1 74967XAA1 1708 1466000 PRN SOLE 0 0 1466000 Q2 HLDGS INC NOTE 0.750% 2/1 74736LAB5 2352 2400000 PRN SOLE 0 0 2400000 PROTAGENIC THERAPEUTICS INC *W EXP 04/13/202 74365N111 49 328223 SH SOLE 328223 0 0 PROPERTY SOLUTIONS ACQUISITI COM CL A 74350A108 157 16000 SH SOLE 16000 0 0 PRIME NO ACQUISITION I CORP UNIT 07/31/2027 74168P206 273 27316 SH SOLE 27316 0 0 PLUS THERAPEUTICS INC COM NEW 72941H400 14 25100 SH SOLE 25100 0 0 PLUG PWR INC NOTE 3.750% 6/0 72919PAD5 11652 3485000 PRN SOLE 0 0 3485000 PLANET LABS PBC *W EXP 12/06/202 72703X114 9 10000 SH SOLE 10000 0 0 PINE TECHNOLOGY ACQUISITN CO CLASS A COM 722850104 172 17502 SH SOLE 17502 0 0 PETVIVO HLDGS INC *W EXP 08/13/202 716817119 72 218353 SH SOLE 218353 0 0 PERSHING SQUARE TONTINE HLDG COM CL A 71531R109 782 39147 SH SOLE 39147 0 0 PAVMED INC *W EXP 04/30/202 70387R122 83 166315 SH SOLE 166315 0 0 PASITHEA THERAPEUTICS CORP *W EXP 08/12/202 70261F111 20 311183 SH SOLE 311183 0 0 PALO ALTO NETWORKS INC NOTE 0.375% 6/0 697435AF2 1414 824000 PRN SOLE 0 0 824000 PALO ALTO NETWORKS INC NOTE 0.750% 7/0 697435AD7 10864 5791000 PRN SOLE 0 0 5791000 NEXTPLAT CORP *W EXP 06/02/202 68557F118 119 134172 SH SOLE 134172 0 0 OPTIMUMBANK HLDGS INC COM 68401P403 476 119118 SH SOLE 119118 0 0 ON SEMICONDUCTOR CORP NOTE 1.625%10/1 682189AP0 23350 9541000 PRN SOLE 0 0 9541000 OMNICELL COM NOTE 0.250% 9/1 68213NAD1 3701 2900000 PRN SOLE 0 0 2900000 OCUPHIRE PHARMA INC COM 67577R102 46 24200 SH SOLE 24200 0 0 OCCIDENTAL PETE CORP *W EXP 08/03/202 674599162 39137 1051472 SH SOLE 1051472 0 0 NOVA LTD NOTE 10/1 66980MAB2 3562 2760000 PRN SOLE 0 0 2760000 NORTHVIEW ACQUISITION CORP *W EXP 08/02/202 66718N111 9 77770 SH SOLE 77770 0 0 ACLARION INC W EXP 04/21/202 655187110 7 28650 SH SOLE 28650 0 0 NICE SYS INC NOTE 1.250% 1/1 65366HAB9 1475 639000 PRN SOLE 0 0 639000 NEXTNAV INC *W EXP 10/28/202 65345N114 20 47000 SH SOLE 47000 0 0 NEXTNAV INC COMMON STOCK 65345N106 57 25000 SH SOLE 25000 0 0 NEXGEL INC *W EXP 12/01/202 65344E115 3 11000 SH SOLE 11000 0 0 NEWBURY STREET ACQUISITN COR COM 65101L104 195 20000 SH SOLE 20000 0 0 NEW ENGLAND RLTY ASSOC LTD P DEPOSITRY RCPT 644206104 1384 17971 SH SOLE 17971 0 0 MUDRICK CAPITAL ACQU CORP II COM CL A 62477L107 515 51063 SH SOLE 51063 0 0 MONTEREY CAP ACQUISITION COR UNIT 05/10/2027 61244M208 103 10340 SH SOLE 10340 0 0 MOBIQUITY TECHNOLOGIES INC *W EXP 12/03/202 60743F128 22 80208 SH SOLE 80208 0 0 MIDDLEBY CORP NOTE 1.000% 9/0 596278AB7 4573 4035000 PRN SOLE 0 0 4035000 MICROCHIP TECHNOLOGY INC. NOTE 1.625% 2/1 595017AF1 52 31000 PRN SOLE 0 0 31000 MICROCHIP TECHNOLOGY INC. NOTE 1.625% 2/1 595017AD6 18969 7573000 PRN SOLE 0 0 7573000 MEDIGUS LTD *W EXP 07/23/202 58471G128 7 28450 SH SOLE 28450 0 0 MDH ACQUISITION CORP *W EXP 02/02/202 55283P114 1 13067 SH SOLE 13067 0 0 LUMENTUM HLDGS INC NOTE 0.250% 3/1 55024UAB5 6262 4500000 PRN SOLE 0 0 4500000 LIXTE BIOTECHNOLOGY HLDGS IN COM 539319202 11 14500 SH SOLE 14500 0 0 LIXTE BIOTECHNOLOGY HLDGS IN *W EXP 01/01/202 539319111 2 12000 SH SOLE 12000 0 0 LIVEONE INC COM 53814X102 26 30000 SH SOLE 30000 0 0 LIVE NATION ENTERTAINMENT IN NOTE 2.500% 3/1 538034AQ2 4256 3290000 PRN SOLE 0 0 3290000 LIBERTY MEDIA CORP DEL NOTE 1.000% 1/3 531229AF9 1732 1000000 PRN SOLE 0 0 1000000 LARKSPUR HEALTH ACQUISITION CLASS A COM 51724W107 119 12000 SH SOLE 12000 0 0 KALEYRA INC *W EXP 11/25/202 483379111 31 147257 SH SOLE 147257 0 0 KBR INC NOTE 2.500%11/0 48242WAB2 4491 2321000 PRN SOLE 0 0 2321000 JAWS HURRICANE ACQUISITN COR CLASS A COM 47201B103 108 11076 SH SOLE 11076 0 0 IVEDA SOLUTIONS INC W EXP 04/01/202 46583A113 4 12556 SH SOLE 12556 0 0 INSULET CORP NOTE 0.375% 9/0 45784PAK7 75 65000 PRN SOLE 0 0 65000 INHIBIKASE THERAPEUTICS INC COM 45719W106 11 14493 SH SOLE 14493 0 0 INCEPTION GROWTH ACQUSTN LTD *W EXP 10/15/202 45333D112 10 90000 SH SOLE 90000 0 0 HUBSPOT INC NOTE 0.375% 6/0 443573AD2 38 30000 PRN SOLE 0 0 30000 HARBOR CUSTOM DEVELOPMENT IN *W EXP 10/04/202 41150T124 62 165000 SH SOLE 165000 0 0 HANNON ARMSTRONG SUST INFR C NOTE 8/1 41068XAD2 5425 5482000 PRN SOLE 0 0 5482000 HCI GROUP INC NOTE 4.250% 3/0 40416EAD5 1357 1194000 PRN SOLE 0 0 1194000 GROM SOCIAL ENTERPRISES INC *W EXP 06/17/202 39878L118 3 26521 SH SOLE 26521 0 0 GLADSTONE ACQUISITION CORP CLASS A COM 37653T108 109 10827 SH SOLE 10827 0 0 GENESIS UNICORN CAPITAL CORP CLASS A COM 37187C100 170 17043 SH SOLE 17043 0 0 GELESIS HLDGS INC *W EXP 01/13/202 36850R113 11 89400 SH SOLE 89400 0 0 GCM GROSVENOR INC *W EXP 11/17/202 36831E116 25 66221 SH SOLE 66221 0 0 GFL ENVIRONMENTAL INC UNIT 99/99/9999T 36168Q120 3973 67156 SH SOLE 67156 0 0 FINANCIAL STRATEGIES ACQUISI *W EXP 03/31/202 31772T115 7 80000 SH SOLE 80000 0 0 FEUTUNE LIGHT ACQUISITION CO UNIT 06/01/2029 31561T201 248 24900 SH SOLE 24900 0 0 FG MERGER CORP W EXP 06/17/202 30324Y119 2 16551 SH SOLE 16551 0 0 FG MERGER CORP COMMON STOCK 30324Y101 220 22068 SH SOLE 22068 0 0 FTI CONSULTING INC NOTE 2.000% 8/1 302941AP4 2925 1622000 PRN SOLE 0 0 1622000 FG FINANCIAL GROUP INC COM 30259W104 138 94797 SH SOLE 94797 0 0 EZFILL HOLDINGS INC COM NEW 302314208 20 25000 SH SOLE 25000 0 0 ETSY INC NOTE 0.125%10/0 29786AAJ5 3220 2829000 PRN SOLE 0 0 2829000 ENVISTA HOLDINGS CORPORATION NOTE 2.375% 6/0 29415FAB0 329 172000 PRN SOLE 0 0 172000 ENVESTNET INC NOTE 1.750% 6/0 29404KAB2 2163 2136000 PRN SOLE 0 0 2136000 ENJOY TECHNOLOGY INC COM 29335V106 22 99150 SH SOLE 99150 0 0 ENERGY VAULT HOLDINGS INC *W EXP 02/11/202 29280W117 40 26721 SH SOLE 26721 0 0 ENCORE CAP EUROPE FIN LTD NOTE 4.500% 9/0 29260UAA5 4844 3500000 PRN SOLE 0 0 3500000 1847 GOEDEKER INC *W EXP 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35 110032 SH SOLE 110032 0 0 CHESAPEAKE ENERGY CORP *W EXP 02/09/202 165167180 15835 301794 SH SOLE 301794 0 0 CHESAPEAKE ENERGY CORP *W EXP 02/09/202 165167172 11216 198101 SH SOLE 198101 0 0 CHESAPEAKE ENERGY CORP *W EXP 02/09/202 165167164 23014 376848 SH SOLE 376848 0 0 CELULARITY INC *W EXP 05/24/202 151190113 13 23000 SH SOLE 23000 0 0 CARNIVAL CORP NOTE 5.750% 4/0 143658BE1 514 460000 PRN SOLE 0 0 460000 CANOO INC *W EXP 12/21/202 13803R110 14 49588 SH SOLE 49588 0 0 CANNA GLOBAL ACQUISITION COR *W EXP 11/30/202 13767K119 7 90100 SH SOLE 90100 0 0 CALLAWAY GOLF COMPANY NOTE 2.750% 5/0 131193AE4 102 75000 PRN SOLE 0 0 75000 BRISTOL-MYERS SQUIBB CO FRNT 9/1 110122AN8 968 465000 PRN SOLE 0 0 465000 BOXED INC *W EXP 12/08/202 103174116 17 78500 SH SOLE 78500 0 0 BOOKING HOLDINGS INC NOTE 0.750% 5/0 09857LAN8 180 149000 PRN SOLE 0 0 149000 BONE BIOLOGICS CORP *W EXP 10/13/202 098070113 21 109567 SH SOLE 109567 0 0 BLUE OWL CAPITAL INC *W EXP 05/19/202 09581B111 42 20000 SH SOLE 20000 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