Filed: 11/13/2023ACC: 0001597506-23-000004
📋 What this filing means
WARBERG ASSET MANAGEMENT LLC filed this quarterly 13F‑HR report disclosing 244 equity positions with a total reported market value of $495.64M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
244
Positions
$495.64M
Total AUM (reported)
140.29M
Total Shares
Allocation by class
PUT$168.48M34.0%
*W EXP 08/03/202$45.01M9.1%
NOTE 1.625%10/1$44.21M8.9%
NOTE 2.500%11/0$37.26M7.5%
NOTE 0.375% 6/0$17.22M3.5%
NOTE 1.750% 5/0$12.56M2.5%
CL A COM$11.97M2.4%
Portfolio Concentration
Top 3$232.42M46.9%
4–10$101.99M20.6%
11–25$82.99M16.7%
Rest$78.24M15.8%
Top 3 weight
46.9%
Top 10 weight
67.5%
Voting Authority Distribution
Total shares with voting rights: 140.29M
Sole
Full voting authority
17.95M
shares
% of voting shares12.8%
Shared
Joint voting authority
0.00
shares
% of voting shares0.0%
None
No voting authority
122.34M
shares
% of voting shares87.2%
Investment Discretion (by position count)
Sole244
Shared0
Other0
Dominant voting typeNone · 87.2% of voting shares
Institutional Holdings244
Rows:
SPDR S&P 500 ETF TR
SOLEShares335K
TypeSH
Market value$143.21M
28.89%
Sole
335K
Shared
0.00
None
0.00
OCCIDENTAL PETE CORP
SOLEShares1.05M
TypeSH
Market value$45.01M
9.08%
Sole
1.05M
Shared
0.00
None
0.00
ON SEMICONDUCTOR CORP
SOLEShares9.85M
TypePRN
Market value$44.21M
8.92%
Sole
0.00
Shared
0.00
None
9.85M
KBR INC
SOLEShares15.79M
TypePRN
Market value$37.26M
7.52%
Sole
0.00
Shared
0.00
None
15.79M
PALO ALTO NETWORKS INC
SOLEShares5.36M
TypePRN
Market value$12.63M
2.55%
Sole
0.00
Shared
0.00
None
5.36M
EQT CORP
SOLEShares4.51M
TypePRN
Market value$12.56M
2.53%
Sole
0.00
Shared
0.00
None
4.51M
VMWARE INC
SOLEShares69.48K
TypeSH
Market value$11.57M
2.33%
Sole
69.48K
Shared
0.00
None
0.00
RH
SOLEShares7.30M
TypePRN
Market value$9.62M
1.94%
Sole
0.00
Shared
0.00
None
7.30M
PIONEER NAT RES CO
SOLEShares3.76M
TypePRN
Market value$9.28M
1.87%
Sole
0.00
Shared
0.00
None
3.76M
ALTAIR ENGR INC
SOLEShares6.70M
TypePRN
Market value$9.06M
1.83%
Sole
0.00
Shared
0.00
None
6.70M
CONMED CORP
SOLEShares7.48M
TypePRN
Market value$8.68M
1.75%
Sole
0.00
Shared
0.00
None
7.48M
INVESCO QQQ TR
SOLEShares23K
TypeSH
Market value$8.24M
1.66%
Sole
23K
Shared
0.00
None
0.00
INTERDIGITAL INC
SOLEShares6.20M
TypePRN
Market value$6.63M
1.34%
Sole
0.00
Shared
0.00
None
6.20M
VERADIGM INC
SOLEShares5.50M
TypePRN
Market value$6.23M
1.26%
Sole
0.00
Shared
0.00
None
5.50M
BOOKING HOLDINGS INC
SOLEShares3.53M
TypePRN
Market value$5.90M
1.19%
Sole
0.00
Shared
0.00
None
3.53M
ETSY INC
SOLEShares5.32M
TypePRN
Market value$5.42M
1.09%
Sole
0.00
Shared
0.00
None
5.32M
ATI INC
SOLEShares2M
TypePRN
Market value$5.38M
1.09%
Sole
0.00
Shared
0.00
None
2M
PARSONS CORP DEL
SOLEShares4.10M
TypePRN
Market value$5.21M
1.05%
Sole
0.00
Shared
0.00
None
4.10M
SPDR S&P 500 ETF TR
SOLEShares12K
TypeSH
Market value$5.13M
1.03%
Sole
12K
Shared
0.00
None
0.00
REPLIGEN CORP
SOLEShares3.43M
TypePRN
Market value$4.91M
0.99%
Sole
0.00
Shared
0.00
None
3.43M
APPLE INC
SOLEShares28K
TypeSH
Market value$4.79M
0.97%
Sole
28K
Shared
0.00
None
0.00
HUBSPOT INC
SOLEShares2.57M
TypePRN
Market value$4.59M
0.93%
Sole
0.00
Shared
0.00
None
2.57M
BOX INC
SOLEShares3.79M
TypePRN
Market value$4.10M
0.83%
Sole
0.00
Shared
0.00
None
3.79M
SEA LTD
SOLEShares3.50M
TypePRN
Market value$3.90M
0.79%
Sole
0.00
Shared
0.00
None
3.50M
AKAMAI TECHNOLOGIES INC
SOLEShares3.27M
TypePRN
Market value$3.87M
0.78%
Sole
0.00
Shared
0.00
None
3.27M
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
SPDR S&P 500 ETF TRSOLE | PUT | 335K | SH | $143.21M 28.89% | 335K | 0.00 | 0.00 |
OCCIDENTAL PETE CORPSOLE | *W EXP 08/03/202 | 1.05M | SH | $45.01M 9.08% | 1.05M | 0.00 | 0.00 |
ON SEMICONDUCTOR CORPSOLE | NOTE 1.625%10/1 | 9.85M | PRN | $44.21M 8.92% | 0.00 | 0.00 | 9.85M |
KBR INCSOLE | NOTE 2.500%11/0 | 15.79M | PRN | $37.26M 7.52% | 0.00 | 0.00 | 15.79M |
PALO ALTO NETWORKS INCSOLE | NOTE 0.375% 6/0 | 5.36M | PRN | $12.63M 2.55% | 0.00 | 0.00 | 5.36M |
EQT CORPSOLE | NOTE 1.750% 5/0 | 4.51M | PRN | $12.56M 2.53% | 0.00 | 0.00 | 4.51M |
VMWARE INCSOLE | CL A COM | 69.48K | SH | $11.57M 2.33% | 69.48K | 0.00 | 0.00 |
RHSOLE | NOTE 9/1 | 7.30M | PRN | $9.62M 1.94% | 0.00 | 0.00 | 7.30M |
PIONEER NAT RES COSOLE | NOTE 0.250% 5/1 | 3.76M | PRN | $9.28M 1.87% | 0.00 | 0.00 | 3.76M |
ALTAIR ENGR INCSOLE | NOTE 0.250% 6/0 | 6.70M | PRN | $9.06M 1.83% | 0.00 | 0.00 | 6.70M |
CONMED CORPSOLE | NOTE 2.625% 2/0 | 7.48M | PRN | $8.68M 1.75% | 0.00 | 0.00 | 7.48M |
INVESCO QQQ TRSOLE | PUT | 23K | SH | $8.24M 1.66% | 23K | 0.00 | 0.00 |
INTERDIGITAL INCSOLE | NOTE 2.000% 6/0 | 6.20M | PRN | $6.63M 1.34% | 0.00 | 0.00 | 6.20M |
VERADIGM INCSOLE | NOTE 0.875% 1/0 | 5.50M | PRN | $6.23M 1.26% | 0.00 | 0.00 | 5.50M |
BOOKING HOLDINGS INCSOLE | NOTE 0.750% 5/0 | 3.53M | PRN | $5.90M 1.19% | 0.00 | 0.00 | 3.53M |
ETSY INCSOLE | NOTE 0.125%10/0 | 5.32M | PRN | $5.42M 1.09% | 0.00 | 0.00 | 5.32M |
ATI INCSOLE | NOTE 3.500% 6/1 | 2M | PRN | $5.38M 1.09% | 0.00 | 0.00 | 2M |
PARSONS CORP DELSOLE | NOTE 0.250% 8/1 | 4.10M | PRN | $5.21M 1.05% | 0.00 | 0.00 | 4.10M |
SPDR S&P 500 ETF TRSOLE | TR UNIT | 12K | SH | $5.13M 1.03% | 12K | 0.00 | 0.00 |
REPLIGEN CORPSOLE | NOTE 0.375% 7/1 | 3.43M | PRN | $4.91M 0.99% | 0.00 | 0.00 | 3.43M |
APPLE INCSOLE | PUT | 28K | SH | $4.79M 0.97% | 28K | 0.00 | 0.00 |
HUBSPOT INCSOLE | NOTE 0.375% 6/0 | 2.57M | PRN | $4.59M 0.93% | 0.00 | 0.00 | 2.57M |
BOX INCSOLE | NOTE 1/1 | 3.79M | PRN | $4.10M 0.83% | 0.00 | 0.00 | 3.79M |
SEA LTDSOLE | NOTE 1.000%12/0 | 3.50M | PRN | $3.90M 0.79% | 0.00 | 0.00 | 3.50M |
AKAMAI TECHNOLOGIES INCSOLE | NOTE 0.125% 5/0 | 3.27M | PRN | $3.87M 0.78% | 0.00 | 0.00 | 3.27M |
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