Warberg Asset Management LLC
CIK 1597506 · Holdings on Sep 30, 2026 · First reported Nov 2, 2026
Top ten holdings
Q3 2026- 163086AE111.60%
- 29446YAC06.06%
- 046433AD05.88%
- 40131MAD15.11%
- NN4.80%
- 538034BA63.94%
- 25402DAD43.90%
- 595017AF13.89%
- 42824C2083.69%
- CLM3.13%
Share classes counted separately52.00%
Portfolio value by quarter
What changed this quarter?
Within preview · weight change- 595017AF1Weight decreased · -8.56 pp12.45% → 3.89%Shares -7.75M (-50.70%)
- 046433AD0Weight decreased · -3.41 pp9.29% → 5.88%Shares 0 (0.00%)
- 538034BA6Weight decreased · -1.70 pp5.64% → 3.94%Shares 0 (0.00%)
Weight = security value ÷ total reported holdings value. Changes are in percentage points; price moves also affect weights, so they are not trade sizes.
Top 10 holdings 25
USD · B = billion · M = million; expand a row for exact values| # | Security | Value | Weight | Quantity | Weight / quantity change | Activity | |
|---|---|---|---|---|---|---|---|
| 01 | 163086AE1CHEFS' WAREHOUSE THENOTE 2.375%12/1 View history and evidence | $51.52M | 11.60% | 20.09M principal (USD) | Prior unavailable +20.09M | New | ↗▾ |
| 02 | 29446YAC0EQUINOX GOLD CORPNOTE 4.750%10/1 View history and evidence | $26.90M | 6.06% | 14.68M principal (USD) | Prior unavailable +14.68M | New | ↗▾ |
| 03 | 046433AD0ASTRONICS CORPNOTE 5.500% 3/1 View history and evidence | $26.13M | 5.88% | 7.18M principal (USD) | 9.29% → 5.88%-3.41 pp 0 (0.00%) | Unchanged | ↗▾ |
| 04 | 40131MAD1GUARDANT HEALTH INCDEBT 1.250% 2/1 View history and evidence | $22.68M | 5.11% | 7.75M principal (USD) | 3.73% → 5.11%+1.38 pp +2.75M (+55.00%) | Added | ↗▾ |
| 05 | NNNEXTNAV INCCOMMON STOCK View history and evidence | $21.32M | 4.80% | 1.48M shares | 4.54% → 4.80%+0.26 pp +622.72K (+72.42%) | Added | ↗▾ |
| 06 | 538034BA6LIVE NATION ENTERTAINMENNOTE 3.125% 1/1 View history and evidence | $17.50M | 3.94% | 10.68M principal (USD) | 5.64% → 3.94%-1.70 pp 0 (0.00%) | Unchanged | ↗▾ |
| 07 | 25402DAD4DIGITALOCEAN HOLDINGSNOTE 8/1 View history and evidence | $17.33M | 3.90% | 5.00M principal (USD) | Prior unavailable +5.00M | New | ↗▾ |
| 08 | 595017AF1MICROCHIP TECHNOLOGY INCNOTE 1.625% 2/1 View history and evidence | $17.28M | 3.89% | 7.53M principal (USD) | 12.45% → 3.89%-8.56 pp -7.75M (-50.70%) | Reduced | ↗▾ |
| 09 | 42824C208HP ENTERPRISE CO7.625 MAND CONV View history and evidence | $16.38M | 3.69% | 100.15K shares | 3.47% → 3.69%+0.22 pp 0 (0.00%) | Unchanged | ↗▾ |
| 10 | CLMCORNERSTONE STRATEGIC INVEST View history and evidence | $13.92M | 3.13% | 2.17M shares | 4.11% → 3.13%-0.98 pp +338.31K (+18.42%) | Added | ↗▾ |
Options overlay 30
$311.07M notionalPut and Call positions are separate. Notional is based on underlying securities, not option premium, market value or net exposure. Quantities are underlying shares.
| Security | Put / Call | Underlying shares | Notional | Quantity change | |
|---|---|---|---|---|---|
SPYSS SPDR S&P 500 ETF TRUST-USTR UNIT View history and evidence | Put | 351.10K | $267.76M | +120.50K (+52.25%) | ▾ |
QQQINVESCO QQQ TRUST SERIES 1UNIT SER 1 View history and evidence | Put | 20.00K | $14.80M | +1.00K (+5.26%) | ▾ |
MUMICRON TECHNOLOGY INC View history and evidence | Put | 4.60K | $4.90M | +4.60K | ▾ |
3 / 30 options · preview only
Exited positions 36
| Security | Type | Shares out | Value out | Previous filing | This filing |
|---|---|---|---|---|---|
| 387328AD9 GRANITE CONSTRUCTION INC | Non-derivative | -14,102,000 | -$46.91M | SEC filing ↗ | SEC filing ↗ |
| 03769M304 APOLLO GLOBAL MANAGEMENT | Non-derivative | -110,589 | -$6.74M | SEC filing ↗ | SEC filing ↗ |
| LITE LUMENTUM HOLDINGS INC | Non-derivative | -1,020,000 | -$6.66M | SEC filing ↗ | SEC filing ↗ |
3 / 36 preview exits. Up to 30 exit records are previewed. Exit means absent from the current filing; execution date, price and proceeds are unknown.
Every number has a source.
CIK 1597506 · Period Sep 30, 2026
Data loaded Nov 10, 2026 · First reported Nov 2, 2026
Amendments and versions
{
"amendments_merged": null,
"prior_versions": null,
"cover_table_value": 755095977
}Research all 201 reported holdings.
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