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Form 13F-HR Warberg Asset Management For: Mar 31

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May 17, 2021 8:34 AM EDT

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F COVER PAGE
OMB APPROVAL
OMB Number: 3235-0006
Expires: July 31, 2015
Estimated average burden
hours per response: 23.8
Report for the Calendar Year or Quarter Ended: 03-31-2021
Check here if Amendment   Amendment Number:
This Amendment (Check only one.):   is a restatement.
  adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: Warberg Asset Management LLC
Address: 716 OAK STREET
WINNETKA , IL60093
Form 13F File Number: 028-20991

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

Person Signing this Report on Behalf of Reporting Manager:
Name: Daniel I. Warsh
Title: Managing Member
Phone: 847-418-8333
Signature, Place, and Date of Signing:
/s/ Daniel Warsh Winnetka , IL 05-17-2021
[Signature] [City, State] [Date]
Report Type (Check only one.):
X 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.)
  13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).)
  13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)
Form 13F Summary Page
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 153
Form 13F Information Table Value Total: 301,046
(thousands)
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
Form 13F File Number Name

List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.
[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]
No. Form 13F File Number Name

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F INFORMATION TABLE
OMB APPROVAL
OMB Number: 3235-0006
Expires: July 31, 2015
Estimated average burden
hours per response: 23.8
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGER SOLE SHARED NONE
AES CORP UNIT 99/99/9999 00130H204 217 2,097 SH SOLE 2,097 0 0
AKAMAI TECHNOLOGIES INC NOTE 0.125% 5/0 00971TAJ0 424 350,000 PRN SOLE 0 0 350,000
ALTA EQUIPMENT GROUP INC *W EXP 02/14/202 02128L114 611 174,606 SH SOLE 174,606 0 0
ALTAIR ENGR INC NOTE 0.250% 6/0 021369AA1 217 150,000 PRN SOLE 0 0 150,000
AMERICAN ACQUISITION OPPT IN UNIT 05/28/2026 02369M201 150 15,000 SH SOLE 15,000 0 0
AMICUS THERAPEUTICS INC NOTE 3.000%12/1 03152WAB5 4,520 2,800,000 PRN SOLE 0 0 2,800,000
AMPCO-PITTSBURG CORP *W EXP 08/01/202 032037111 117 88,700 SH SOLE 88,700 0 0
ARBOR REALTY TRUST INC NOTE 5.250% 7/0 038923AH1 1,296 1,000,000 PRN SOLE 0 0 1,000,000
ARCHIMEDES TECH SPAC PARTNR UNIT 03/10/2026 039562202 109 11,000 SH SOLE 11,000 0 0
ARK ETF TR INNOVATION ETF 00214Q104 960 8,000 SH Put SOLE 8,000 0 0
ATLANTIC AVE ACQUISITION COR COM CL A 04906P101 115 11,850 SH SOLE 11,850 0 0
AVINO SILVER & GOLD MINES LT COM 053906103 70 56,242 SH SOLE 56,242 0 0
BANDWIDTH INC NOTE 0.250% 3/0 05988JAB9 4,430 2,900,000 PRN SOLE 0 0 2,900,000
BAUDAX BIO INC COM 07160F107 75 58,000 SH Call SOLE 58,000 0 0
BLACKLINE INC NOTE 0.125% 8/0 09239BAB5 1,863 1,175,000 PRN SOLE 0 0 1,175,000
BLINK CHARGING CO COM 09354A100 206 5,000 SH Put SOLE 5,000 0 0
BRIACELL THERAPEUTICS CORP *W EXP 02/24/202 10778Y112 64 59,400 SH SOLE 59,400 0 0
BROADMARK RLTY CAP INC *W EXP 11/15/202 11135B118 2 10,000 SH SOLE 10,000 0 0
BTRS HOLDINGS INC *W EXP 01/12/202 11778X112 138 29,200 SH SOLE 29,200 0 0
BURGERFI INTERNATIONAL INC *W EXP 12/16/202 12122L119 181 46,661 SH SOLE 46,661 0 0
CANOO INC *W EXP 12/21/202 13803R110 249 88,000 SH SOLE 88,000 0 0
CARNIVAL CORP UNIT 99/99/9999 143658300 3,174 119,600 SH SOLE 119,600 0 0
CARNIVAL CORP UNIT 99/99/9999 143658300 3,203 120,700 SH Put SOLE 120,700 0 0
CHANGE HEALTHCARE INC UNIT 99/99/9999 15912K209 645 8,616 SH SOLE 8,616 0 0
CHEGG INC NOTE 0.125% 3/1 163092AD1 2,999 1,725,000 PRN SOLE 0 0 1,725,000
CLOVER HEALTH INVESTMENTS CO COM CL A 18914F103 376 49,800 SH Put SOLE 49,800 0 0
COLLABORATIVE INVESTMNT SER THE SPAC AND NEW 19423L672 485 17,000 SH Put SOLE 17,000 0 0
COMSOVEREIGN HLDG CORP *W EXP 12/18/202 205650112 90 72,058 SH SOLE 72,058 0 0
COUPA SOFTWARE INC NOTE 0.125% 6/1 22266LAC0 5,467 3,212,000 PRN SOLE 0 0 3,212,000
DASEKE INC *W EXP 02/27/202 23753F115 342 1,006,389 SH SOLE 1,006,389 0 0
DELWINDS INS ACQUISITION COR COM CLS A 24803C102 131 13,500 SH SOLE 13,500 0 0
DEXCOM INC NOTE 0.750%12/0 252131AH0 6,354 2,873,000 PRN SOLE 0 0 2,873,000
DIGITAL MEDIA SOLUTIONS INC *W EXP 07/15/202 25401G114 485 297,307 SH SOLE 297,307 0 0
DIREXION SHS ETF TR 20YR TRES BEAR 25460G849 1,222 15,000 SH Call SOLE 15,000 0 0
DOORDASH INC CL A 25809K105 787 6,000 SH Put SOLE 6,000 0 0
ELECTRAMECCANICA VEHS CORP *W EXP 08/03/202 284849114 45 15,500 SH SOLE 15,500 0 0
ENTERA BIO LTD *W EXP 07/02/202 M40527117 18 35,257 SH SOLE 35,257 0 0
ETSY INC NOTE 0.125%10/0 29786AAJ5 4,759 2,008,000 PRN SOLE 0 0 2,008,000
ETSY INC NOTE 3/0 29786AAC0 1,294 233,000 PRN SOLE 0 0 233,000
EXXON MOBIL CORP COM 30231G102 2,233 40,000 SH Call SOLE 40,000 0 0
FACEBOOK INC CL A 30303M102 1,767 6,000 SH Put SOLE 6,000 0 0
FAT BRANDS INC *W EXP 06/30/202 30258N121 53 15,000 SH SOLE 15,000 0 0
FTI CONSULTING INC NOTE 2.000% 8/1 302941AP4 735 501,000 PRN SOLE 0 0 501,000
G&P ACQUISITION CORP UNIT 02/28/2028 36146G202 149 15,000 SH SOLE 15,000 0 0
GAMESTOP CORP NEW CL A 36467W109 569 3,000 SH Put SOLE 3,000 0 0
GCM GROSVENOR INC *W EXP 11/17/202 36831E116 1,489 1,251,093 SH SOLE 1,251,093 0 0
GEOVAX LABS INC *W EXP 09/29/202 373678119 14 12,052 SH SOLE 12,052 0 0
GLOBAL BLUE GROUP HOLDING AG *W EXP 08/28/202 H33700115 19 15,450 SH SOLE 15,450 0 0
HANNON ARMSTRONG SUST INFR C NOTE 4.125% 9/0 41068XAB6 8,458 4,105,000 PRN SOLE 0 0 4,105,000
HC2 HLDGS INC COM 404139107 79 20,000 SH Call SOLE 20,000 0 0
HCI GROUP INC NOTE 4.250% 3/0 40416EAD5 1,546 1,180,000 PRN SOLE 0 0 1,180,000
HOSTESS BRANDS INC *W EXP 11/04/202 44109J114 2,450 1,689,821 SH SOLE 1,689,821 0 0
HUBSPOT INC NOTE 0.250% 6/0 443573AB6 359 75,000 PRN SOLE 0 0 75,000
HYCROFT MINING HOLDING CORP *W EXP 02/12/202 44862P117 53 102,355 SH SOLE 102,355 0 0
HYCROFT MINING HOLDING CORP *W EXP 10/06/202 44862P133 16 24,400 SH SOLE 24,400 0 0
ILLUMINA INC NOTE 0.500% 6/1 452327AH2 6,661 4,415,000 PRN SOLE 0 0 4,415,000
IMAC HLDGS INC *W EXP 02/12/202 44967K112 44 102,360 SH SOLE 102,360 0 0
IMAC HLDGS INC COM 44967K104 27 16,542 SH SOLE 16,542 0 0
INFRA AND ENERGY ALTRNTIVE I *W EXP 03/27/202 45686J112 3,698 1,089,676 SH SOLE 1,089,676 0 0
INNOVATIVE INDL PPTYS INC COM 45781V101 2,901 16,100 SH Put SOLE 16,100 0 0
INSEEGO CORP COM 45782B104 619 61,900 SH SOLE 61,900 0 0
INSEEGO CORP COM 45782B104 732 73,200 SH Put SOLE 73,200 0 0
INSEEGO CORP NOTE 3.250% 5/0 45782BAD6 223 210,000 PRN SOLE 0 0 210,000
INSULET CORP NOTE 1.375%11/1 45784PAH4 13,302 4,747,000 PRN SOLE 0 0 4,747,000
INTL GNRL INSURANCE HLDNGS L *W EXP 03/17/202 G4809J114 570 640,718 SH SOLE 640,718 0 0
ISHARES SILVER TR ISHARES 46428Q109 908 40,000 SH Call SOLE 40,000 0 0
ISHARES TR 20 YR TR BD ETF 464287432 677 5,000 SH SOLE 5,000 0 0
ISHARES TR 20 YR TR BD ETF 464287432 3,522 26,000 SH Put SOLE 26,000 0 0
J2 GLOBAL INC NOTE 3.250% 6/1 48123VAC6 10,430 5,887,000 PRN SOLE 0 0 5,887,000
KBR INC NOTE 2.500%11/0 48242WAB2 1,736 1,100,000 PRN SOLE 0 0 1,100,000
KNOWLES CORP NOTE 3.250%11/0 49926DAB5 2,398 2,000,000 PRN SOLE 0 0 2,000,000
LANDSEA HOMES CORP *W EXP 01/07/202 51509P111 4 16,000 SH SOLE 16,000 0 0
LENDINGTREE INC NEW NOTE 0.625% 6/0 52603BAA5 30 25,000 PRN SOLE 0 0 25,000
LIBERTY MEDIA CORP DEL DEB 3.500% 1/1 530715AN1 13 12,968 PRN SOLE 0 0 12,968
LIXTE BIOTECHNOLOGY HLDGS IN *W EXP 01/01/202 539319111 22 26,600 SH SOLE 26,600 0 0
MALACCA STRAITS ACQUISITION COM CL A G5859B117 161 16,269 SH SOLE 16,269 0 0
MCEWEN MNG INC COM 58039P107 83 80,000 SH SOLE 80,000 0 0
MEDIGUS LTD *W EXP 07/23/202 58471G128 32 37,000 SH SOLE 37,000 0 0
MERCADOLIBRE INC NOTE 2.000% 8/1 58733RAD4 5,224 1,559,000 PRN SOLE 0 0 1,559,000
MICROCHIP TECHNOLOGY INC. NOTE 1.625% 2/1 595017AD6 276 80,000 PRN SOLE 0 0 80,000
MICROCHIP TECHNOLOGY INC. NOTE 2.250% 2/1 595017AH7 4,203 1,830,000 PRN SOLE 0 0 1,830,000
MICRON TECHNOLOGY INC NOTE 3.125% 5/0 595112AX1 7,397 840,000 PRN SOLE 0 0 840,000
MONGODB INC NOTE 0.750% 6/1 60937PAB2 1,870 478,000 PRN SOLE 0 0 478,000
MONTES ARCHIMEDES ACQUISITIO COM CL A 612657106 126 12,850 SH SOLE 12,850 0 0
NEUROCRINE BIOSCIENCES INC NOTE 2.250% 5/1 64125CAD1 562 414,000 PRN SOLE 0 0 414,000
NEW ENGLAND RLTY ASSOC LTD P DEPOSITRY RCPT 644206104 307 5,586 SH SOLE 5,586 0 0
NEW FRONTIER HEALTH CORP *W EXP 11/30/202 G6461G114 128 54,313 SH SOLE 54,313 0 0
NEWBURY STREET ACQUISITN COR UNIT 04/30/2028 65101L203 198 20,000 SH SOLE 20,000 0 0
NEXTERA ENERGY INC UNIT 09/01/2022S 65339F796 2,318 40,261 SH SOLE 40,261 0 0
NICE SYS INC NOTE 1.250% 1/1 65366HAB9 1,090 417,000 PRN SOLE 0 0 417,000
NIKOLA CORP COM 654110105 778 56,000 SH Put SOLE 56,000 0 0
NLS PHARMACEUTICS LTD *W EXP 09/25/202 H57830111 33 35,000 SH SOLE 35,000 0 0
NOVAGOLD RES INC COM NEW 66987E206 184 21,000 SH Call SOLE 21,000 0 0
NUANCE COMMUNICATIONS INC DBCV 1.000%12/1 67020YAK6 2,041 1,102,000 PRN SOLE 0 0 1,102,000
NUANCE COMMUNICATIONS INC DEBT 1.500%11/0 67020YAG5 2,915 1,373,000 PRN SOLE 0 0 1,373,000
NUANCE COMMUNICATIONS INC NOTE 1.250% 4/0 67020YAN0 3,347 1,468,000 PRN SOLE 0 0 1,468,000
OKTA INC NOTE 0.125% 9/0 679295AD7 115 85,000 PRN SOLE 0 0 85,000
OPTIMUMBANK HLDGS INC COM 68401P403 165 42,623 SH SOLE 42,623 0 0
PALO ALTO NETWORKS INC NOTE 0.750% 7/0 697435AD7 4,548 3,439,000 PRN SOLE 0 0 3,439,000
PAN AMERN SILVER CORP COM 697900108 901 30,000 SH Call SOLE 30,000 0 0
PAVMED INC *W EXP 04/30/202 70387R122 37 13,235 SH SOLE 13,235 0 0
PENN NATL GAMING INC NOTE 2.750% 5/1 707569AU3 4,359 965,000 PRN SOLE 0 0 965,000
PERSHING SQUARE TONTINE HLDG COM CL A 71531R109 240 10,000 SH SOLE 10,000 0 0
PERSHING SQUARE TONTINE HLDG COM CL A 71531R109 267 11,100 SH Put SOLE 11,100 0 0
PINE TECHNOLOGY ACQUISITN CO UNIT 03/31/2028 722850203 174 17,500 SH SOLE 17,500 0 0
PINGTAN MARINE ENTERPRISE LT SHS G7114V102 58 56,000 SH SOLE 56,000 0 0
PROPERTY SOLUTIONS ACQUISITI UNIT 03/01/2026 74350A207 157 16,000 SH SOLE 16,000 0 0
PROSHARES TR ULTRASHRT S&P500 74347B383 323 30,000 SH SOLE 30,000 0 0
PTK ACQUISITION CORP COM 69375F108 105 10,677 SH SOLE 10,677 0 0
PYXIS TANKERS INC *W EXP 09/15/202 Y71726122 38 59,397 SH SOLE 59,397 0 0
PYXIS TANKERS INC COM Y71726106 21 20,000 SH SOLE 20,000 0 0
Q2 HLDGS INC NOTE 0.750% 2/1 74736LAB5 3,302 1,846,000 PRN SOLE 0 0 1,846,000
Q2 HLDGS INC NOTE 0.750% 6/0 74736LAD1 315 242,000 PRN SOLE 0 0 242,000
RAPID7 INC NOTE 1.250% 8/0 753422AB0 266 145,000 PRN SOLE 0 0 145,000
REPLIGEN CORP NOTE 0.375% 7/1 759916AB5 441 250,000 PRN SOLE 0 0 250,000
RH NOTE 6/1 74967XAA1 10,344 3,354,000 PRN SOLE 0 0 3,354,000
RH NOTE 9/1 74967XAD5 4,240 1,500,000 PRN SOLE 0 0 1,500,000
RIOT BLOCKCHAIN INC COM 767292105 373 7,000 SH Put SOLE 7,000 0 0
ROSECLIFF ACQUISITION CORP I UNIT 99/99/9999 77732R202 159 16,076 SH SOLE 16,076 0 0
SAILPOINT TECHNOLOGIES HLDGS NOTE 0.125% 9/1 78781PAB1 47 25,000 PRN SOLE 0 0 25,000
SEABRIDGE GOLD INC COM 811916105 162 10,000 SH Call SOLE 10,000 0 0
SEACHANGE INTL INC COM 811699107 28 18,000 SH SOLE 18,000 0 0
SEANERGY MARITIME HLDGS CORP SHS NEW Y73760194 80 75,000 SH SOLE 75,000 0 0
SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 2,384 70,000 SH Put SOLE 70,000 0 0
SIERRA METALS INC COM 82639W106 32 10,000 SH SOLE 10,000 0 0
SOLENO THERAPEUTICS INC COM NEW 834203200 38 30,000 SH SOLE 30,000 0 0
SOUTH JERSEY INDS INC UNIT 99/99/9999 838518116 1,279 33,225 SH SOLE 33,225 0 0
SOUTHWEST AIRLS CO NOTE 1.250% 5/0 844741BG2 3,441 2,000,000 PRN SOLE 0 0 2,000,000
SPARTACUS ACQUISITION CORP CL A 84677L109 124 12,600 SH SOLE 12,600 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 1,982 5,000 SH Call SOLE 5,000 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 61,431 155,000 SH Put SOLE 155,000 0 0
SQUARE INC NOTE 0.500% 5/1 852234AD5 7,395 2,532,000 PRN SOLE 0 0 2,532,000
SURO CAPITAL CORP COM NEW 86887Q109 1,154 85,199 SH SOLE 85,199 0 0
SURO CAPITAL CORP COM NEW 86887Q109 1,154 85,200 SH Put SOLE 85,200 0 0
SYNAPTICS INC NOTE 0.500% 6/1 87157DAD1 369 200,000 PRN SOLE 0 0 200,000
TANGER FACTORY OUTLET CTRS I COM 875465106 151 10,000 SH Call SOLE 10,000 0 0
TASTEMAKER ACQUISITION CORP COM CL A 876545104 141 14,500 SH SOLE 14,500 0 0
TERADYNE INC NOTE 1.250%12/1 880770AG7 631 164,000 PRN SOLE 0 0 164,000
TESLA INC COM 88160R101 3,006 4,500 SH Put SOLE 4,500 0 0
VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 975 30,000 SH Call SOLE 30,000 0 0
VERB TECHNOLOGY CO INC COM 92337U104 109 78,000 SH SOLE 78,000 0 0
VERIFYME INC *W EXP 06/22/202 92346X115 61 38,582 SH SOLE 38,582 0 0
VIAVI SOLUTIONS INC NOTE 1.000% 3/0 925550AB1 198 150,000 PRN SOLE 0 0 150,000
VUZIX CORP COM NEW 92921W300 382 15,000 SH Put SOLE 15,000 0 0
WAYFAIR INC NOTE 0.375% 9/0 94419LAB7 233 77,000 PRN SOLE 0 0 77,000
WAYFAIR INC NOTE 1.000% 8/1 94419LAF8 144 65,000 PRN SOLE 0 0 65,000
WAYFAIR INC NOTE 1.125%11/0 94419LAD3 9,752 3,554,000 PRN SOLE 0 0 3,554,000
WILLSCOT MOBIL MINI HLDNG CO COM CL A 971378104 3,136 113,000 SH Put SOLE 113,000 0 0
WIX COM LTD NOTE 7/0 92940WAB5 10,122 5,025,000 PRN SOLE 0 0 5,025,000
WORKDAY INC NOTE 0.250%10/0 98138HAF8 915 531,000 PRN SOLE 0 0 531,000
ZILLOW GROUP INC NOTE 0.750% 9/0 98954MAE1 7,309 2,450,000 PRN SOLE 0 0 2,450,000
ZILLOW GROUP INC NOTE 1.500% 7/0 98954MAC5 255 151,000 PRN SOLE 0 0 151,000
ZYNGA INC NOTE 0.250% 6/0 98986TAB4 1,809 1,325,000 PRN SOLE 0 0 1,325,000

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