WARBERG ASSET MANAGEMENT LLC

PrivateCIK: 1597506
Location

WINNETKA, IL

192
Positions
$599.63M
Total AUM (reported)
124.01M
Total Shares

Allocation by class

TOTAL AUM$599.63M192 positions
PUT$244.11M40.7%
NOTE 0.500%12/1$68.51M11.4%
NOTE 3.500% 6/0$36.00M6.0%
NOTE 2.250% 5/0$34.42M5.7%
*W EXP 08/03/202$20.90M3.5%
NOTE 1.625% 2/1$20.44M3.4%
NOTE 3.125% 1/1$16.22M2.7%

Portfolio Concentration

Top 351.1%4–1021.8%11–2512.9%Rest14.3%TOP 1072.8%0%100%
Top 3$306.11M51.1%
4–10$130.44M21.8%
11–25$77.08M12.9%
Rest$85.99M14.3%

Top 3 weight

51.1%

Top 10 weight

72.8%

Voting Authority Distribution

Total shares with voting rights: 124.01M

Sole

Full voting authority

13.73M

shares

% of voting shares11.1%
Shared

Joint voting authority

0.00

shares

% of voting shares0.0%
None

No voting authority

110.28M

shares

% of voting shares88.9%

Investment Discretion (by position count)

Sole192
Shared0
Other0
Dominant voting typeNone · 88.9% of voting shares
Institutional Holdings192
Rows:

STATE STR SPDR S&P 500 ETF T

SOLE
PUT
Shares310K
TypeSH
Market value$201.61M
33.62%
Sole
310K
Shared
0.00
None
0.00

LUMENTUM HLDGS INC

SOLE
NOTE 0.500%12/1
Shares9.70M
TypePRN
Market value$68.51M
11.42%
Sole
0.00
Shared
0.00
None
9.70M

SEAGATE HDD CAYMAN

SOLE
NOTE 3.500% 6/0
Shares7.59M
TypePRN
Market value$36.00M
6.00%
Sole
0.00
Shared
0.00
None
7.59M

CNX RES CORP

SOLE
NOTE 2.250% 5/0
Shares11.47M
TypePRN
Market value$34.42M
5.74%
Sole
0.00
Shared
0.00
None
11.47M

OCCIDENTAL PETE CORP

SOLE
*W EXP 08/03/202
Shares486.51K
TypeSH
Market value$20.90M
3.49%
Sole
486.51K
Shared
0.00
None
0.00

MICROCHIP TECHNOLOGY INC.

SOLE
NOTE 1.625% 2/1
Shares11.11M
TypePRN
Market value$20.44M
3.41%
Sole
0.00
Shared
0.00
None
11.11M

INVESCO QQQ TR

SOLE
PUT
Shares35K
TypeSH
Market value$20.20M
3.37%
Sole
35K
Shared
0.00
None
0.00

LIVE NATION ENTERTAINMENT IN

SOLE
NOTE 3.125% 1/1
Shares10.66M
TypePRN
Market value$16.22M
2.71%
Sole
0.00
Shared
0.00
None
10.66M

WISDOMTREE INC

SOLE
NOTE 3.250% 6/1
Shares7.71M
TypePRN
Market value$10.19M
1.70%
Sole
0.00
Shared
0.00
None
7.71M

VENTAS RLTY LTD PARTNERSHIP

SOLE
NOTE 3.750% 6/0
Shares5.39M
TypePRN
Market value$8.07M
1.35%
Sole
0.00
Shared
0.00
None
5.39M

LCI INDS

SOLE
NOTE 3.000% 3/0
Shares6.50M
TypePRN
Market value$7.85M
1.31%
Sole
0.00
Shared
0.00
None
6.50M

HALOZYME THERAPEUTICS INC

SOLE
NOTE 1.000% 8/1
Shares6M
TypePRN
Market value$7.72M
1.29%
Sole
0.00
Shared
0.00
None
6M

CORNERSTONE STRATEGIC INVEST

SOLE
COM
Shares1.04M
TypeSH
Market value$7.59M
1.27%
Sole
1.04M
Shared
0.00
None
0.00

TXNM ENERGY INC

SOLE
NOTE 5.750% 6/0
Shares5M
TypePRN
Market value$6.67M
1.11%
Sole
0.00
Shared
0.00
None
5M

ALNYLAM PHARMACEUTICALS INC

SOLE
NOTE 1.000% 9/1
Shares5M
TypePRN
Market value$6.42M
1.07%
Sole
0.00
Shared
0.00
None
5M

ASTRONICS CORP

SOLE
NOTE 5.500% 3/1
Shares1.69M
TypePRN
Market value$5.20M
0.87%
Sole
0.00
Shared
0.00
None
1.69M

EXXON MOBIL CORP

SOLE
CALL
Shares30K
TypeSH
Market value$5.09M
0.85%
Sole
30K
Shared
0.00
None
0.00

UNITED STS OIL FD LP

SOLE
PUT
Shares39K
TypeSH
Market value$4.96M
0.83%
Sole
39K
Shared
0.00
None
0.00

SNOWFLAKE INC

SOLE
NOTE 10/0
Shares4M
TypePRN
Market value$4.89M
0.82%
Sole
0.00
Shared
0.00
None
4M

ISHARES TR

SOLE
PUT
Shares50K
TypeSH
Market value$4.33M
0.72%
Sole
50K
Shared
0.00
None
0.00

NVIDIA CORPORATION

SOLE
PUT
Shares22K
TypeSH
Market value$3.84M
0.64%
Sole
22K
Shared
0.00
None
0.00

CENTERPOINT ENERGY INC

SOLE
NOTE 4.250% 8/1
Shares3M
TypePRN
Market value$3.56M
0.59%
Sole
0.00
Shared
0.00
None
3M

WISDOMTREE INC

SOLE
NOTE 3.250% 8/1
Shares2.50M
TypePRN
Market value$3.34M
0.56%
Sole
0.00
Shared
0.00
None
2.50M

AKAMAI TECHNOLOGIES INC

SOLE
NOTE 1.125% 2/1
Shares2.50M
TypePRN
Market value$2.86M
0.48%
Sole
0.00
Shared
0.00
None
2.50M

ALBEMARLE CORP

SOLE
7.25% DEP SHS A
Shares38.50K
TypeSH
Market value$2.77M
0.46%
Sole
38.50K
Shared
0.00
None
0.00
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