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Warberg Asset Management LLC
Period ended Sep 30, 2026 · Latest filing Nov 2, 2026
These quarterly holdings are delayed and may not include all assets or short positions.
Values are from the reporting date, not current prices or purchase costs.
The same security may appear in multiple rows.
Source: SEC
Reported portfolio value
Quarter-end reported holdings; not current value or investment performance.
View reported values
- Sep 30, 2026: $755,095,977
More quarters will appear as history becomes available.
Top holdings
Top 10 at Sep 30, 2026. Matching entries are combined; security classes and options remain separate. Shares exclude principal amounts; option shares reflect the reported underlying amount.
View top holdings values
- STATE STR SPDR S&P 500 ETF T · TR UNIT · 78462F103 · shares · PUT: $267,759,393
- CHEFS WHSE INC · NOTE 2.375%12/1 · 163086AE1 · principal: $51,520,119
- EQUINOX GOLD CORP · NOTE 4.750%10/1 · 29446YAC0 · principal: $26,897,428
- ASTRONICS CORP · NOTE 5.500% 3/1 · 046433AD0 · principal: $26,130,947
- GUARDANT HEALTH INC · DEBT 1.250% 2/1 · 40131MAD1 · principal: $22,676,961
- NEXTNAV INC · COMMON STOCK · 65345N106 · shares: $21,319,213
- LIVE NATION ENTERTAINMENT IN · NOTE 3.125% 1/1 · 538034BA6 · principal: $17,497,740
- DIGITALOCEAN HLDGS INC · NOTE 8/1 · 25402DAD4 · principal: $17,332,094
- MICROCHIP TECHNOLOGY INC. · NOTE 1.625% 2/1 · 595017AF1 · principal: $17,281,350
- HEWLETT PACKARD ENTERPRISE C · 7.625 MAND CONV · 42824C208 · shares: $16,381,188
Reported holdings
201 reported entries| Issuer | Class | CUSIP | Type | Shares / principal | Reported value (USD) |
|---|---|---|---|---|---|
| STATE STR SPDR S&P 500 ETF T | TR UNIT | 78462F103 | PUT | 351,100 shares | $267,759,393 |
| CHEFS WHSE INC | NOTE 2.375%12/1 | 163086AE1 | — | 20,088,000 principal | $51,520,119 |
| EQUINOX GOLD CORP | NOTE 4.750%10/1 | 29446YAC0 | — | 14,676,000 principal | $26,897,428 |
| ASTRONICS CORP | NOTE 5.500% 3/1 | 046433AD0 | — | 7,185,000 principal | $26,130,947 |
| GUARDANT HEALTH INC | DEBT 1.250% 2/1 | 40131MAD1 | — | 7,750,000 principal | $22,676,961 |
| NEXTNAV INC | COMMON STOCK | 65345N106 | — | 1,482,560 shares | $21,319,213 |
| LIVE NATION ENTERTAINMENT IN | NOTE 3.125% 1/1 | 538034BA6 | — | 10,684,000 principal | $17,497,740 |
| DIGITALOCEAN HLDGS INC | NOTE 8/1 | 25402DAD4 | — | 5,000,000 principal | $17,332,094 |
| MICROCHIP TECHNOLOGY INC. | NOTE 1.625% 2/1 | 595017AF1 | — | 7,530,000 principal | $17,281,350 |
| HEWLETT PACKARD ENTERPRISE C | 7.625 MAND CONV | 42824C208 | — | 100,154 shares | $16,381,188 |
| INVESCO QQQ TR | UNIT SER 1 | 46090E103 | PUT | 20,000 shares | $14,795,400 |
| CORNERSTONE STRATEGIC INVEST | COM | 21924B302 | — | 2,174,887 shares | $13,919,275 |
| JAZZ INVESTMENTS I LTD | NOTE 3.125% 9/1 | 472145AH4 | — | 7,500,000 principal | $12,162,322 |
| LIGAND PHARMACEUTICALS INC | NOTE 0.750%10/0 | 53220KAH1 | — | 6,750,000 principal | $11,340,000 |
| SIRIUSXM HOLDINGS INC | NOTE 3.750% 3/1 | 531229AP7 | — | 9,500,000 principal | $10,117,500 |
| AKAMAI TECHNOLOGIES INC | NOTE 0.250% 5/1 | 00971TAQ4 | — | 7,500,000 principal | $9,975,980 |
| HALOZYME THERAPEUTICS INC | NOTE 1.000% 8/1 | 40637HAF6 | — | 5,000,000 principal | $9,882,760 |
| WELLTOWER INC | COM | 95040Q104 | — | 42,031 shares | $9,681,421 |
| CHEESECAKE FACTORY INC | NOTE 2.000% 3/1 | 163072AC5 | — | 5,969,000 principal | $9,408,636 |
| AVNET INC | NOTE 1.750% 9/0 | 053807AZ6 | — | 6,000,000 principal | $9,090,700 |
| SNOWFLAKE INC | NOTE 10/0 | 833445AD1 | — | 4,000,000 principal | $8,871,125 |
| BROOKDALE SR LIVING INC | NOTE 2.000%10/1 | 112463AC8 | — | 6,212,000 principal | $8,844,378 |
| PENUMBRA INC | COM | 70975L107 | — | 25,100 shares | $7,990,334 |
| A10 NETWORKS INC | NOTE 2.750% 4/0 | 002121AB7 | — | 5,000,000 principal | $6,652,450 |
| LCI INDS | NOTE 3.000% 3/0 | 501812AD3 | — | 6,500,000 principal | $6,455,638 |
| ORMAT TECHNOLOGIES INC | NOTE 2.500% 7/1 | 686688AB8 | — | 5,633,000 principal | $6,304,893 |
| DROPBOX INC | NOTE 3/0 | 26210CAD6 | — | 5,265,000 principal | $5,801,180 |
| TXNM ENERGY INC | NOTE 5.750% 6/0 | 69349HAF4 | — | 4,000,000 principal | $5,331,388 |
| ETSY INC | NOTE 1.000% 6/1 | 29786AAQ9 | — | 4,500,000 principal | $4,960,571 |
| MICRON TECHNOLOGY INC | COM | 595112103 | PUT | 4,600 shares | $4,899,506 |
| MERIT MED SYS INC | NOTE 3.000% 2/0 | 589889AB0 | — | 4,000,000 principal | $4,653,620 |
| ISHARES TR | 20 YR TR BD ETF | 464287432 | PUT | 52,000 shares | $4,044,560 |
| CLOUDFLARE INC | NOTE 6/1 | 18915MAF4 | — | 2,500,000 principal | $3,931,250 |
| CORE SCIENTIFIC INC NEW | *W EXP 01/23/202 | 21874A114 | — | 383,028 shares | $3,554,500 |
| MIRUM PHARMACEUTICALS INC | NOTE 4.000% 5/0 | 604749AB7 | — | 1,065,000 principal | $2,891,475 |
| ISHARES TR | 20 YR TR BD ETF | 464287432 | — | 36,000 shares | $2,801,974 |
| EPR PPTYS | PFD C CV 5.75% | 26884U208 | — | 107,385 shares | $2,742,613 |
| UBER TECHNOLOGIES INC | NOTE 0.875%12/0 | 90353TAM2 | — | 1,953,000 principal | $2,235,062 |
| IONIS PHARMACEUTICALS INC | NOTE 1.750% 6/1 | 462222AF7 | — | 2,000,000 principal | $2,194,673 |
| MICROSOFT CORP | COM | 594918104 | PUT | 4,000 shares | $2,051,600 |
| NVIDIA CORPORATION | COM | 67066G104 | PUT | 8,800 shares | $2,009,744 |
| POST HLDGS INC | NOTE 2.500% 8/1 | 737446AT1 | — | 2,020,000 principal | $1,993,866 |
| SELECT SECTOR SPDR TR | ST STR ENERG ETF | 81369Y506 | CALL | 32,000 shares | $1,968,000 |
| CENTURY ALUM CO | NOTE 2.750% 5/0 | 156431AQ1 | — | 1,000,000 principal | $1,933,125 |
| EPR PPTYS | CONV PFD 9% SR E | 26884U307 | — | 54,398 shares | $1,690,146 |
| PAYPAL HLDGS INC | COM | 70450Y103 | CALL | 31,000 shares | $1,628,430 |
| BANK OF AMER CORP | 7.25%CNV PFD L | 060505682 | — | 1,180 shares | $1,440,733 |
| STEREOTAXIS INC | COM NEW | 85916J409 | — | 1,131,371 shares | $1,391,587 |
| XSOLLA SPAC 1 | USD CL A ORD SHS | G9833K102 | — | 138,416 shares | $1,384,160 |
| ALBEMARLE CORP | 7.25% DEP SHS A | 012653200 | — | 30,305 shares | $1,383,120 |
| FG IMPERII ACQUISITION CORP | ORD SHS CL A | G3R41C102 | — | 131,674 shares | $1,320,032 |
| UNITED STS OIL FD LP | UNITS | 91232N207 | PUT | 9,000 shares | $1,310,940 |
| VENDOME ACQUISITION CORP I | COM CL A | G9580A109 | — | 106,152 shares | $1,096,550 |
| REVOLUTION MEDICINES INC | *W EXP 12/17/202 | 76155X118 | — | 94,797 shares | $1,084,478 |
| NEW ENGLAND RLTY ASSOC LTD P | DEPOSITRY RCPT | 644206104 | — | 19,690 shares | $1,034,491 |
| APPLE INC | COM | 037833100 | CALL | 3,000 shares | $999,060 |
| COLLECTIVE ACQUISITION CORP | ORD SHS CL A | G22741105 | — | 99,668 shares | $997,677 |
| PRAETORIAN ACQUISITION CORP | ORD SHS CL A | G7S17G103 | — | 99,899 shares | $994,495 |
| SELECT SECTOR SPDR TR | ST STR UTIL ETF | 81369Y886 | CALL | 25,000 shares | $986,000 |
| STARBUCKS CORP | COM | 855244109 | PUT | 10,000 shares | $939,600 |
| ORIGIN INVT CORP I | ORD SHS | G67751100 | — | 83,610 shares | $870,380 |
| BLACK HAWK ACQUISITION CORP | USD CL A SHS | G1148A101 | — | 70,102 shares | $865,760 |
| LANTHEUS HLDGS INC | COM | 516544103 | PUT | 8,400 shares | $836,052 |
| BLOOM ENERGY CORP | COM CL A | 093712107 | CALL | 3,000 shares | $830,940 |
| KIMCO REALTY CORP | DP CV CL N 7.25% | 49446R687 | — | 13,707 shares | $827,492 |
| D BORAL ACQUISITION I CORP | ORD SHS CL A | G2616T101 | — | 76,851 shares | $769,279 |
| KOCHAV DEFENSE ACQUI CO | SHS CL A | G5304D106 | — | 73,072 shares | $765,429 |
| STATE STR SPDR S&P 500 ETF T | TR UNIT | 78462F103 | CALL | 1,000 shares | $762,630 |
| APPLOVIN CORP | COM CL A | 03831W108 | PUT | 2,600 shares | $755,118 |
| X3 ACQUISITION CORP LTD | ORD SHS CL A | G9831H101 | — | 75,000 shares | $752,625 |
| ACP HOLDINGS ACQUISITION COR | CL A | G0113G101 | — | 71,071 shares | $714,974 |
| RF ACQUISITION CORP III | ORD SHS | G7537X107 | — | 69,949 shares | $698,791 |
| VINE HILL CAP INVTS CORP II | CL A | G9709D109 | — | 67,463 shares | $679,352 |
| LEADERS ADVANTAGE ACQUISITIO | UNIT 08/05/2031 | G54093128 | — | 65,000 shares | $647,400 |
| NORTHSTRIVE ACQUISITION CORP | UNIT 08/11/2031 | G6659W137 | — | 61,106 shares | $614,726 |
| SILICON VY ACQUISITION CORP | CL A | G81306121 | — | 60,377 shares | $611,015 |
| VANECK ETF TRUST | SEMICONDUCTR ETF | 92189F676 | PUT | 1,000 shares | $609,000 |
| SPACE EXPLORATION TECHN CORP | CLASS A COM STK | 84615Q103 | PUT | 4,000 shares | $603,440 |
| CRITICAL METALS CORP | PUBCO ORD SHS | G2662B103 | PUT | 80,200 shares | $582,252 |
| LANTHEUS HLDGS INC | COM | 516544103 | — | 5,600 shares | $557,424 |
| CAL REDWOOD ACQUISITION CORP | COM CL A | G17564108 | — | 49,594 shares | $514,786 |
| BURTECH ACQUISITION CORP II | ORD SHS CL A | G1810A108 | — | 50,000 shares | $500,500 |
| PELICAN ACQUISITION II CORP | ORD SHS | G69822107 | — | 50,000 shares | $495,250 |
| CROWN RESV ACQUISITION CORP | ORD SHS CL A | G2574F119 | — | 47,102 shares | $482,796 |
| CLEARTHINK 1 ACQUISITION COR | ORD SHS CL A | G2294A101 | — | 47,995 shares | $477,550 |
| ART TECHNOLOGY ACQUISITION C | USD CL A ORD SHS | G0579E103 | — | 47,480 shares | $474,563 |
| JAB ACQUISITION CORP I | CL A ORD SHS | G50004103 | — | 46,875 shares | $466,875 |
| SC II ACQUISITION CORP | ORD SHS CLASS A | G7866D102 | — | 45,800 shares | $466,336 |
| THAYER VENTURES ACQ CORP II | CL A | G87890102 | — | 44,699 shares | $465,093 |
| INDIGO ACQUISITION CORP | ORD SHS | G4791J106 | — | 44,612 shares | $463,073 |
| LAKE SUPERIOR ACQUISITION CO | USD CL A ORD SHS | G5354C107 | — | 44,947 shares | $460,707 |
| VANECK ETF TRUST | GOLD MINERS ETF | 92189F106 | CALL | 5,000 shares | $439,000 |
| MILUNA ACQUISITION CORP | USD CL A ORD SHS | G6180J100 | — | 42,966 shares | $438,468 |
| CARVANA CO | CL A | 146869102 | PUT | 7,000 shares | $437,780 |
| DAVE INC | *W EXP 01/05/202 | 23834J110 | — | 389,498 shares | $381,708 |
| GLOBA TERRA ACQUISITION COR | CL A ORD SHS | G3933N116 | — | 36,284 shares | $378,805 |
| I-80 GOLD CORP | *W EXP 11/16/202 | 44955L155 | — | 372,290 shares | $368,567 |
| OTG ACQUISITION CORP. I | ORD CL A | G6791A100 | — | 35,438 shares | $363,948 |
| AA MISSION ACQUISITION CORP | ORD SHS CL A | G1000S109 | — | 34,985 shares | $360,346 |
| CHAMPIONSGATE ACQUISITION CO | SHS CL A | G2124S108 | — | 34,442 shares | $359,919 |