Managing Member

0001597506-23-000001.txt : 20230213 0001597506-23-000001.hdr.sgml : 20230213 20230213093714 ACCESSION NUMBER: 0001597506-23-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20221231 FILED AS OF DATE: 20230213 DATE AS OF CHANGE: 20230213 EFFECTIVENESS DATE: 20230213 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: 23615189 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 X0202 13F-HR LIVE false false false 0001597506 XXXXXXXX 028-20991 12-31-2022 12-31-2022 Warberg Asset Management LLC

716 OAK STREET WINNETKA IL 60093

13F HOLDINGS REPORT 028-20991 N Daniel I Warsh Managing Member 4802069849 Daniel Warsh Winnetka, IL. IL 02-13-2023 0 271 638376804 INFORMATION TABLE 2 information_table.xml SAB BIOTHERAPEUTICS INC COM 78397T103 218518 370370 SH SOLE 370370 0 0 PALISADE BIO INC COM 696389204 136843 26316 SH SOLE 26316 0 0 AURORA INNOVATION INC *W EXP 11/03/202 051774115 9114 70109 SH SOLE 70109 0 0 EXXON MOBIL CORP CALL 30231G902 1875100 17000 SH Call SOLE 17000 0 0 SELECT SECTOR SPDR TR PUT 81369Y956 437350 5000 SH Put SOLE 5000 0 0 WORKSPORT LTD *W EXP 06/01/202 98139Q118 2094 14960 SH SOLE 14960 0 0 WINDTREE THERAPEUTICS INC COM 97382D303 4263 25000 SH SOLE 25000 0 0 WEARABLE DEVICES LTD W EXP 09/14/202 M97838110 11631 95965 SH SOLE 95965 0 0 VISION SENSING ACQUISITION C CLASS A COM 92838J103 413844 40043 SH SOLE 40043 0 0 VIRPAX PHARMACEUTICALS INC COM 928251107 10561 17012 SH SOLE 17012 0 0 VIRIOS THERAPEUTICS INC COM 92829J104 37760 160000 SH SOLE 160000 0 0 VICARIOUS SURGICAL INC *W EXP 08/05/202 92561V117 19040 112000 SH SOLE 112000 0 0 VERSUS SYSTEMS INC *W EXP 12/17/202 92535P147 12721 443244 SH SOLE 443244 0 0 VANECK ETF TRUST INVESTMENT GRD 92189F486 249944 10046 SH SOLE 10046 0 0 VALUENCE MERGER CORP I CLASS A ORD SHS G9R16L100 365252 35205 SH SOLE 35205 0 0 UNITED STS NAT GAS FD LP CALL 912318900 423000 30000 SH Call SOLE 30000 0 0 TWIN VEE POWERCATS CO COM 90177C101 37881 20700 SH SOLE 20700 0 0 TESLA INC NOTE 2.000% 5/1 88160RAG6 827398 139000 PRN SOLE 0 0 139000 TESLA INC CALL 88160R901 443448 3600 SH Call SOLE 3600 0 0 TROIKA MEDIA GROUP INC COM 89689F305 5233 44999 SH SOLE 44999 0 0 ISHARES TR PUT 464287952 1294280 13000 SH Put SOLE 13000 0 0 TERADYNE INC NOTE 1.250%12/1 880770AG7 19862319 7179000 PRN SOLE 0 0 7179000 TC BIOPHARM HOLDINGS PLC *W EXP 02/08/202 87807D111 10937 86667 SH SOLE 86667 0 0 TALKSPACE INC *W EXP 06/21/202 87427V111 38013 521442 SH SOLE 521442 0 0 SYSTEM1 INC *W EXP 99/99/999 87200P117 8070 17400 SH SOLE 17400 0 0 SOUTHWESTERN ENERGY CO CALL 845467909 219960 37600 SH Call SOLE 37600 0 0 SURGEPAYS INC *W EXP 10/22/202 86882L113 2695664 1147091 SH SOLE 1147091 0 0 STRAN & COMPANY INC *W EXP 11/01/202 86260J110 19453 168494 SH SOLE 168494 0 0 STEREOTAXIS INC COM NEW 85916J409 20600 10000 SH SOLE 10000 0 0 SPDR S&P 500 ETF TR PUT 78462F953 283724817 741900 SH Put SOLE 741900 0 0 SPDR S&P 500 ETF TR CALL 78462F903 1147290 3000 SH Call SOLE 3000 0 0 SPREE ACQUISITION CORP 1 LTD *W EXP 12/22/202 G83745128 1900 47154 SH SOLE 47154 0 0 SPREE ACQUISITION CORP 1 LTD CL A ORD SHS G83745102 181735 17713 SH SOLE 17713 0 0 SPLASH BEVERAGE GROUP INC *W EXP 06/15/202 84862C112 68096 453974 SH SOLE 453974 0 0 SPDR SER TR BLOOMBERG INVT 78468R200 230964 7600 SH SOLE 7600 0 0 SOUTH JERSEY INDS INC UNIT 04/01/2024 838518306 10705002 155100 SH SOLE 155100 0 0 SNAIL INC CLASS A COM 83301J100 19110 13000 SH SOLE 13000 0 0 G SQUARED ASCEND I INC SHS CL A G4204R109 404200 40000 SH SOLE 40000 0 0 FTI CONSULTING INC NOTE 2.000% 8/1 302941AP4 7941095 5024000 PRN SOLE 0 0 5024000 FISKER INC PUT 33813J956 1485261 204300 SH Put SOLE 204300 0 0 FORAFRIC GLOBAL PLC W EXP 06/09/202 X3R81D110 7140 10500 SH SOLE 10500 0 0 FINTECH ECOSYSTEM DEVE CLASS A COM 318136108 170232 16608 SH SOLE 16608 0 0 FINANCIAL STRATEGIES ACQUISI *W EXP 03/31/202 31772T115 1200 80000 SH SOLE 80000 0 0 FGI INDUSTRIES LTD *W EXP 01/21/202 G3302D111 52062 121074 SH SOLE 121074 0 0 FG MERGER CORP W EXP 06/17/202 30324Y119 1448 16546 SH SOLE 16546 0 0 FG MERGER CORP COMMON STOCK 30324Y101 225425 22068 SH SOLE 22068 0 0 FEUTUNE LIGHT ACQUISITION CO W EXP 06/01/202 31561T110 624 20796 SH SOLE 20796 0 0 FEUTUNE LIGHT ACQUISITION CO CL A COM 31561T102 253233 24900 SH SOLE 24900 0 0 FAT PROJECTS ACQUISITION COR *W EXP 08/31/202 G3400W110 2125 85000 SH SOLE 85000 0 0 EVGO INC *W EXP 07/01/202 30052F118 17337 25500 SH SOLE 25500 0 0 EVERGREEN CORPORATION CLASS A ORD SHS G3312W109 212138 20636 SH SOLE 20636 0 0 ETSY INC NOTE 0.125%10/0 29786AAJ5 4548063 2939000 PRN SOLE 0 0 2939000 ESPORTS ENTMT GROUP INC COM 29667K306 10657 135756 SH SOLE 135756 0 0 ENPHASE ENERGY INC NOTE 3/0 29355AAK3 90120 77000 PRN SOLE 0 0 77000 ENERGEM CORP *W EXP 11/15/202 G30449121 7110 90000 SH SOLE 90000 0 0 EMBRACE CHANGE ACQUISITN COR W EXP 10/25/202 G3034H125 406 12500 SH SOLE 12500 0 0 ELLIOTT OPPORTUNITY II CORP SHS CL A G30092103 100800 10000 SH SOLE 10000 0 0 ELANCO ANIMAL HEALTH INC UNIT 02/01/2023T 28414H202 691948 35430 SH SOLE 35430 0 0 EF HUTTON ACQUISITION CORP I W EXP 11/18/202 28201D117 160 10000 SH SOLE 10000 0 0 EF HUTTON ACQUISITION CORP I RIGHT 11/18/2027 28201D125 1656 13246 SH SOLE 13246 0 0 EF HUTTON ACQUISITION CORP I COM 28201D109 133296 13303 SH SOLE 13303 0 0 EDIBLE GARDEN AG INC W EXP 04/18/202 28059P113 1464 103861 SH SOLE 103861 0 0 EAST RES ACQUISITION CO COM CL A 274681105 221579 21809 SH SOLE 21809 0 0 DIRECT DIGITAL HOLDINGS INC *W EXP 02/15/202 25461T113 48840 62616 SH SOLE 62616 0 0 DICKS SPORTING GOODS INC NOTE 3.250% 4/1 253393AD4 17504175 4664000 PRN SOLE 0 0 4664000 DEXCOM INC NOTE 0.750%12/0 252131AH0 300690 109000 PRN SOLE 0 0 109000 DERMATA THERAPEUTICS INC *W EXP 08/13/202 249845116 1214 60711 SH SOLE 60711 0 0 DENALI CAPITAL ACQUISITN COR CLASS A ORD G6256B106 179550 17500 SH SOLE 17500 0 0 DATA STORAGE CORP *W EXP 05/13/202 23786R110 16797 105312 SH SOLE 105312 0 0 COMERA LIFE SCIENCES HLDGS I W EXP 03/15/202 20037C116 14569 305440 SH SOLE 305440 0 0 COLLIERS INTL GROUP INC NOTE 4.000% 6/0 194693AB3 3348750 2000000 PRN SOLE 0 0 2000000 COLISEUM ACQUISITION CORP CLASS A ORD SHS G2263T123 150600 15000 SH SOLE 15000 0 0 CLEVER LEAVES HOLDINGS INC *W EXP 12/18/202 186760112 873 25000 SH SOLE 25000 0 0 CINGULATE INC *W EXP 12/03/202 17248W113 26419 110032 SH SOLE 110032 0 0 CIIG CAPITAL PARTNERS II INC COM CL A 12561U109 203800 20000 SH SOLE 20000 0 0 CHESAPEAKE ENERGY CORP *W EXP 02/09/202 165167180 334814 4328 SH SOLE 4328 0 0 CHESAPEAKE ENERGY CORP *W EXP 02/09/202 165167164 202248 2402 SH SOLE 2402 0 0 CELULARITY INC *W EXP 05/24/202 151190113 1456 18200 SH SOLE 18200 0 0 CEA INDUSTRIES INC *W EXP 02/11/202 86887P119 23769 264095 SH SOLE 264095 0 0 CASTELLUM INC COM NEW 14838T204 25200 20000 SH SOLE 20000 0 0 CANOO INC *W EXP 12/21/202 13803R110 9660 42000 SH SOLE 42000 0 0 CANNA GLOBAL ACQUISITION COR *W EXP 11/30/202 13767K119 1577 90100 SH SOLE 90100 0 0 CALLAWAY GOLF COMPANY NOTE 2.750% 5/0 131193AE4 116188 89000 PRN SOLE 0 0 89000 BEYOND MEAT INC PUT 08862E959 209270 17000 SH Put SOLE 17000 0 0 BUZZFEED INC *W EXP 12/03/202 12430A110 1771 44284 SH SOLE 44284 0 0 PEABODY ENGR CORP CALL 704551900 501980 19000 SH Call SOLE 19000 0 0 BT BRANDS INC *W EXP 11/12/202 0557MQ115 11218 74786 SH SOLE 74786 0 0 BRUUSH ORAL CARE INC W EXP 08/03/202 11750K120 876 15000 SH SOLE 15000 0 0 BOXED INC *W EXP 12/08/202 103174116 2793 71618 SH SOLE 71618 0 0 BONE BIOLOGICS CORP *W EXP 10/13/202 098070113 1215 41100 SH SOLE 41100 0 0 BONE BIOLOGICS CORP COM NEW 098070303 6291 30000 SH SOLE 30000 0 0 BIOAFFINITY TECHNOLOGIES INC W EXP 09/07/202 09076W117 8159 19426 SH SOLE 19426 0 0 BANYAN ACQUISITION CORPORATI CL A COM 06690B107 153150 15000 SH SOLE 15000 0 0 BANNIX ACQUISITION CORP *W EXP 07/31/202 066644113 1500 85700 SH SOLE 85700 0 0 BANNIX ACQUISITION CORP COM 066644105 228825 22500 SH SOLE 22500 0 0 AURA FAT PROJS ACQUISITION C CLASS A ORD G06362100 256375 25000 SH SOLE 25000 0 0 AUDDIA INC *W EXP 10/17/202 05072K115 2231 12768 SH SOLE 12768 0 0 ATLAS AIR WORLDWIDE HLDGS IN NOTE 1.875% 6/0 049164BJ4 11103013 6651000 PRN SOLE 0 0 6651000 ATHERSYS INC NEW COM NEW 04744L205 14095 16780 SH SOLE 16780 0 0 ASSURE HLDGS CORP COM NEW 04625J204 5206 20000 SH SOLE 20000 0 0 ASPIRA WOMENS HEALTH INC COM 04537Y109 5100 15000 SH SOLE 15000 0 0 ASP ISOTOPES INC COM 00218A105 23460 14848 SH SOLE 14848 0 0 ARQIT QUANTUM INC *W EXP 11/02/202 G0567U119 12421 24355 SH SOLE 24355 0 0 AROGO CAPITAL ACQUISITION CO *W EXP 03/23/202 042644112 5175 90000 SH SOLE 90000 0 0 ARIES I ACQUISITION CORP CLASS A ORD SHS G0542N107 423916 41237 SH SOLE 41237 0 0 APTOSE BIOSCIENCES INC COM NEW 03835T200 6670 11500 SH SOLE 11500 0 0 APPTECH PMTS CORP *W EXP 12/17/202 03834B127 29598 205831 SH SOLE 205831 0 0 ANTHEM INC NOTE 2.750%10/1 94973VBG1 4070251 556000 PRN SOLE 0 0 556000 ANGHAMI INC *W EXP 02/03/202 G0369L119 1063 40409 SH SOLE 40409 0 0 AMPRIUS TECHNOLOGIES INC CALL 03214Q908 317200 40000 SH Call SOLE 40000 0 0 AMPRIUS TECHNOLOGIES INC W EXP 09/14/202 03214Q116 93861 319068 SH SOLE 319068 0 0 AMPCO-PITTSBURG CORP *W EXP 08/01/202 032037111 13262 84200 SH SOLE 84200 0 0 AMESITE INC COM 031094105 7765 44348 SH SOLE 44348 0 0 AMERICAN REBEL HOLDINGS INC *W EXP 01/20/202 02919L117 4517 130921 SH SOLE 130921 0 0 ALPHA TAU MEDICAL LTD *W EXP 03/07/202 M0740A116 5727 22900 SH SOLE 22900 0 0 ALPHA STAR ACQUISITION CORP *W EXP 12/13/202 G0230C116 1192 80000 SH SOLE 80000 0 0 ALPHA STAR ACQUISITION CORP ORDINARY SHARES G0230C108 216411 21103 SH SOLE 21103 0 0 ALLEGO N V *W EXP 03/16/202 N0796A118 2250 22500 SH SOLE 22500 0 0 ALLEGHENY TECHNOLOGIES INC NOTE 3.500% 6/1 01741RAK8 6048735 3000000 PRN SOLE 0 0 3000000 AKAMAI TECHNOLOGIES INC NOTE 0.125% 5/0 00971TAJ0 2450500 2320000 PRN SOLE 0 0 2320000 AINOS INC W EXP 07/29/202 00902F113 8670 34695 SH SOLE 34695 0 0 AIMFINITY INVESTMENT CORP I UNIT 04/21/2027 G0135E142 200800 20000 SH SOLE 20000 0 0 AGRIFORCE GROWING SYSTEMS LT *W EXP 02/01/202 C00948114 5496 60401 SH SOLE 60401 0 0 AGILE THERAPEUTICS INC COM NEW 00847L209 3973 17500 SH SOLE 17500 0 0 ALAMOS GOLD INC NEW CALL 011532908 252750 25000 SH Call SOLE 25000 0 0 AESTHER HEALTHCARE ACQSTN CO CLASS A COM 00809L106 351614 33809 SH SOLE 33809 0 0 ACRI CAPITAL ACQUISITION COR COM CL A 00501A101 451724 44200 SH SOLE 44200 0 0 ACLARION INC W EXP 04/21/202 655187110 4440 28647 SH SOLE 28647 0 0 ACCRETION ACQUISITION CORP *W EXP 03/01/202 00438Y115 1633 87348 SH SOLE 87348 0 0 APPLE INC PUT 037833950 3248250 25000 SH Put SOLE 25000 0 0 26 CAPITAL ACQUISITION CORP COM CL A 90138P100 561773 55429 SH SOLE 55429 0 0 ZIVO BIOSCIENCE INC *W EXP 05/14/202 98978N119 41091 86508 SH SOLE 86508 0 0 FREEPORT-MCMORAN INC CALL 35671D907 380000 10000 SH Call SOLE 10000 0 0 ACTIVISION BLIZZARD INC CALL 00507V909 3345235 43700 SH Call SOLE 43700 0 0 ISHARES SILVER TR CALL 46428Q909 660600 30000 SH Call SOLE 30000 0 0 SILICON LABORATORIES INC NOTE 0.625% 6/1 826919AD4 1939755 1545000 PRN SOLE 0 0 1545000 SHARPS TECHNOLOGY INC W EXP 04/13/202 82003F119 5054 38847 SH SOLE 38847 0 0 SHAPEWAYS HOLDINGS INC *W EXP 10/31/202 81947T110 248 14668 SH SOLE 14668 0 0 SELINA HOSPITALITY PLC W EXP 10/27/202 G8059B119 14670 183376 SH SOLE 183376 0 0 SEASTAR MEDICAL HOLDING CORP W EXP 10/28/202 81256L112 31609 351211 SH SOLE 351211 0 0 STARBUCKS CORP PUT 855244959 992000 10000 SH Put SOLE 10000 0 0 SAVERONE 2014 LTD W EXP 05/04/202 80516T113 19411 194497 SH SOLE 194497 0 0 CASSAVA SCIENCES INC PUT 14817C957 354480 12000 SH Put SOLE 12000 0 0 SEABRIDGE GOLD INC CALL 811916905 138380 11000 SH Call SOLE 11000 0 0 ROGERS CORP CALL 775133901 954720 8000 SH Call SOLE 8000 0 0 RH NOTE 6/1 74967XAA1 33114 24000 PRN SOLE 0 0 24000 RH NOTE 9/1 74967XAD5 346751 250000 PRN SOLE 0 0 250000 REPUBLIC FIRST BANCORP INC COM 760416107 32250 15000 SH SOLE 15000 0 0 RAMBUS INC DEL NOTE 1.375% 2/0 750917AG1 1790476 946000 PRN SOLE 0 0 946000 RAIL VISION LTD *W EXP 03/27/202 M8186D114 4163 59563 SH SOLE 59563 0 0 INVESCO QQQ TR PUT 46090E953 3994200 15000 SH Put SOLE 15000 0 0 PYXIS TANKERS INC *W EXP 09/15/202 Y71726122 446389 333126 SH SOLE 333126 0 0 PYXIS TANKERS INC 7.75% CNV PFD A Y71726114 721579 29910 SH SOLE 29910 0 0 PURE STORAGE INC NOTE 0.125% 4/1 74624MAB8 5405208 5000000 PRN SOLE 0 0 5000000 PROTAGENIC THERAPEUTICS INC *W EXP 04/13/202 74365N111 7265 177196 SH SOLE 177196 0 0 PROTAGENIC THERAPEUTICS INC COM 74365N103 8000 20000 SH SOLE 20000 0 0 PROGRESS ACQUISITION CORP COM CL A 74327P105 171906 16970 SH SOLE 16970 0 0 PRIME NO ACQUISITION I CORP W EXP 07/31/202 74168P115 888 13658 SH SOLE 13658 0 0 PRIME NO ACQUISITION I CORP COM CL A 74168P107 410677 40421 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08/02/202 66718N111 3325 77770 SH SOLE 77770 0 0 NOBLE ROCK ACQUISITION CORP CL A SHS G6546R101 215372 21324 SH SOLE 21324 0 0 NICE SYS INC NOTE 1.250% 1/1 65366HAB9 1853763 804000 PRN SOLE 0 0 804000 NEXTPLAT CORP *W EXP 06/02/202 68557F118 74555 120289 SH SOLE 120289 0 0 NEXTNAV INC *W EXP 10/28/202 65345N114 3725 10000 SH SOLE 10000 0 0 NEXGEL INC *W EXP 12/01/202 65344E115 1500 10000 SH SOLE 10000 0 0 NEXALIN TECHNOLOGY INC W EXP 09/15/202 65345B110 33297 166483 SH SOLE 166483 0 0 NEWBURY STREET ACQUISITN COR COM 65101L104 207507 20730 SH SOLE 20730 0 0 NEW ENGLAND RLTY ASSOC LTD P DEPOSITRY RCPT 644206104 1791912 25264 SH SOLE 25264 0 0 NEUROSENSE THERAPEUTICS LTD *W EXP 11/09/202 M74240116 14380 79668 SH SOLE 79668 0 0 NEUROCRINE BIOSCIENCES INC NOTE 2.250% 5/1 64125CAD1 64893 41000 PRN SOLE 0 0 41000 NETCAPITAL INC W EXP 07/12/202 64113L111 31290 105000 SH SOLE 105000 0 0 NEOVOLTA INC W EXP 04/01/202 640655114 34482 38527 SH SOLE 38527 0 0 NAVIDEA BIOPHARMACEUTICALS I COM NEW 63937X202 33863 161250 SH SOLE 161250 0 0 MICROSTRATEGY INC PUT 594972958 424710 3000 SH Put SOLE 3000 0 0 MONTEREY CAP ACQUISITION COR CLASS A COM 61244M109 357757 35740 SH SOLE 35740 0 0 MOBIV ACQUISITION CORP CLASS A COM 60742N106 233870 22750 SH SOLE 22750 0 0 MOBIQUITY TECHNOLOGIES INC *W EXP 12/03/202 60743F128 4029 50368 SH SOLE 50368 0 0 MOBILICOM LTD W EXP 08/31/202 60742B110 14010 127366 SH SOLE 127366 0 0 MIRION TECHNOLOGIES INC *W EXP 10/20/202 60471A119 33708 30096 SH SOLE 30096 0 0 MIDDLEBY CORP NOTE 1.000% 9/0 596278AB7 4427524 3761000 PRN SOLE 0 0 3761000 MICROCLOUD HOLOGRAM INC W EXP 01/31/202 G55032125 22097 315673 SH SOLE 315673 0 0 MICROCHIP TECHNOLOGY INC. NOTE 1.625% 2/1 595017AF1 950364 476000 PRN SOLE 0 0 476000 MICROCHIP TECHNOLOGY INC. NOTE 1.625% 2/1 595017AD6 9858874 3179000 PRN SOLE 0 0 3179000 MEDICENNA THERAPEUTICS CORP COM 58490H107 9160 20000 SH SOLE 20000 0 0 ALLSCRIPTS HEALTHCARE SOLUTI NOTE 0.875% 1/0 01988PAF5 7155551 5011000 PRN SOLE 0 0 5011000 MCDONALDS CORP PUT 580135951 1317650 5000 SH Put SOLE 5000 0 0 MAXPRO CAPITAL ACQUISITN COR CLASS A COM 57778T106 170961 16502 SH SOLE 16502 0 0 MARIS TECH LTD *W EXP 02/04/202 M68057112 22324 223236 SH SOLE 223236 0 0 MARATHON DIGITAL HOLDINGS IN PUT 565788956 54378 15900 SH Put SOLE 15900 0 0 MARATHON DIGITAL HOLDINGS IN CALL 565788906 111150 32500 SH Call SOLE 32500 0 0 MALACCA STRAITS ACQUISITION COM CL A G5859B117 315531 30889 SH SOLE 30889 0 0 MACONDRAY CAP ACQUISITN CORP CLASS A ORD SHS G5853A107 200743 19700 SH SOLE 19700 0 0 LIVE NATION ENTERTAINMENT IN NOTE 2.500% 3/1 538034AQ2 4830455 4533000 PRN SOLE 0 0 4533000 LUMENTUM HLDGS INC NOTE 0.250% 3/1 55024UAB5 2110990 2000000 PRN SOLE 0 0 2000000 LIXTE BIOTECHNOLOGY HLDGS IN COM 539319202 7359 14500 SH SOLE 14500 0 0 LIVEONE INC COM 53814X102 10927 16981 SH SOLE 16981 0 0 THE LION ELECTRIC COMPANY W EXP 12/16/202 536221120 41860 60667 SH SOLE 60667 0 0 LIBERTY MEDIA CORP DEL NOTE 1.000% 1/3 531229AF9 7060412 4368000 PRN SOLE 0 0 4368000 KWESST MICRO SYSTEMS INC W EXP 12/09/202 501506133 57600 64000 SH SOLE 64000 0 0 KWESST MICRO SYSTEMS INC COM NEW 501506604 47557 13865 SH SOLE 13865 0 0 KIORA PHARMACEUTICALS INC COM NEW 49721T309 113190 33000 SH SOLE 33000 0 0 KBR INC NOTE 2.500%11/0 48242WAB2 561929 266000 PRN SOLE 0 0 266000 KALEYRA INC *W EXP 11/25/202 483379111 3250 86316 SH SOLE 86316 0 0 KAIROUS ACQUISITION CORP LTD *W EXP 09/15/202 G52131128 6656 80677 SH SOLE 80677 0 0 J P MORGAN EXCHANGE-TRADED F ULTRA SHRT INC 46641Q837 238218 4752 SH SOLE 4752 0 0 JAWS HURRICANE ACQUISITN COR CLASS A COM 47201B103 110428 11076 SH SOLE 11076 0 0 JATT ACQUISITION CORP SHS CL A G50752107 102100 10000 SH SOLE 10000 0 0 JANUS DETROIT STR TR HENDRSN SHRT ETF 47103U886 1619895 34175 SH SOLE 34175 0 0 IVEDA SOLUTIONS INC W EXP 04/01/202 46583A113 4354 36286 SH SOLE 36286 0 0 ISHARES TR 20 YR TR BD ETF 464287432 298710 3000 SH SOLE 3000 0 0 INVESCO ACTIVELY MANAGED ETF VAR RATE INVT 46090A879 296291 11998 SH SOLE 11998 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 1464815 5500 SH SOLE 5500 0 0 INVESCO EXCH TRD SLF IDX FD BULSHS 2024 HY 46138J833 883694 39950 SH SOLE 39950 0 0 INTL GNRL INSURANCE HLDNGS L *W EXP 03/17/202 G4809J114 432285 751800 SH SOLE 751800 0 0 INTEGRATED RAIL AND RES ACQ CL A COM 45827R106 131320 12843 SH SOLE 12843 0 0 INSULET CORP NOTE 0.375% 9/0 45784PAK7 280096 198000 PRN SOLE 0 0 198000 INSPIRA TECHNOLOGIES OXY BHN *W EXP 06/30/202 M53637118 4445 24000 SH SOLE 24000 0 0 INSIGHT ENTERPRISES INC NOTE 0.750% 2/1 45765UAB9 1021556 679000 PRN SOLE 0 0 679000 INNOVATIVE EYEWEAR INC W EXP 08/16/202 45791D117 8381 67265 SH SOLE 67265 0 0 INFINT ACQUISITION CORP *W EXP 99/99/999 G47862126 7208 90100 SH SOLE 90100 0 0 INCEPTION GROWTH ACQUSTN LTD *W EXP 10/15/202 45333D112 2925 90000 SH SOLE 90000 0 0 IG ACQUISITION CORP COM CL A 449534106 550740 54800 SH SOLE 54800 0 0 IBIO INC COM 451033609 22200 50000 SH SOLE 50000 0 0 HYCROFT MINING HOLDING CORP *W EXP 02/12/202 44862P117 18675 250000 SH SOLE 250000 0 0 HUBSPOT INC NOTE 0.375% 6/0 443573AD2 293169 237000 PRN SOLE 0 0 237000 HNR ACQUISITION CORP COM 40472A102 409220 40002 SH SOLE 40002 0 0 HERTZ GLOBAL HLDGS INC *W EXP 06/30/205 42806J148 5124835 687436 SH SOLE 687436 0 0 HEARTBEAM INC *W EXP 10/31/202 42238H116 128075 117500 SH SOLE 117500 0 0 HARMONIC INC DBCV 2.000% 9/0 413160AD4 2169295 1375000 PRN SOLE 0 0 1375000 HARBOR CUSTOM DEVELOPMENT IN *W EXP 10/04/202 41150T124 11517 165000 SH SOLE 165000 0 0 GROM SOCIAL ENTRPRISES INC COM 39878L407 32340 21000 SH SOLE 21000 0 0 GORILLA TECHNOLOGY GROUP INC W EXP 07/13/202 G4000K118 4100 20000 SH SOLE 20000 0 0 GOLDENSTONE ACQUISITION LTD COM 38136Y102 284351 27823 SH SOLE 27823 0 0 GENERAC HLDGS INC CALL 368736904 1107260 11000 SH Call SOLE 11000 0 0 GLADSTONE ACQUISITION CORP CLASS A COM 37653T108 112824 10922 SH SOLE 10922 0 0 GLOBAL STAR ACQUISITION INC CLASS A COM 37962G102 176829 17456 SH SOLE 17456 0 0 GLOBAL BLOCKCHAIN ACQUI CORP COMMON STOCK 37961B104 403600 40000 SH SOLE 40000 0 0 GIGCAPITAL 5 INC COMMON STOCK 37519U109 146890 14401 SH SOLE 14401 0 0 GFL ENVIRONMENTAL INC UNIT 99/99/9999T 36168Q120 4916569 76002 SH SOLE 76002 0 0 GENESIS UNICORN CAPITAL CORP CLASS A COM 37187C100 173924 17043 SH SOLE 17043 0 0 GELESIS HLDGS INC *W EXP 01/13/202 36850R113 796 89400 SH SOLE 89400 0 0 VANECK ETF TRUST CALL 92189F906 1762590 61500 SH Call SOLE 61500 0 0 GCM GROSVENOR INC *W EXP 11/17/202 36831E116 18938 43042 SH SOLE 43042 0 0 MARATHON DIGITAL HOLDINGS IN COM 565788106 41040 12000 SH SOLE 12000 0 0 FISKER INC CL A COM STK 33813J106 162848 22400 SH SOLE 22400 0 0 APPLE INC COM 037833100 1299300 10000 SH SOLE 10000 0 0