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Warberg Asset Management LLC Top Holdings and 13F Report (2026)

About Warberg Asset Management LLC

Investment Activity

  • Warberg Asset Management LLC has $599.63 million in total holdings as of March 31, 2026.
  • Warberg Asset Management LLC owns shares of 192 different stocks, but just 17 companies or ETFs make up 80% of its holdings.
  • Approximately 28.12% of the portfolio was purchased this quarter.
  • About 66.91% of the portfolio was sold this quarter.
  • This quarter, Warberg Asset Management LLC has purchased 181 new stocks and bought additional shares in 24 stocks.
  • Warberg Asset Management LLC sold shares of 46 stocks and completely divested from 62 stocks this quarter.

Largest Holdings

STATE STR SPDR S&P 500 ETF T
$201,605,400
LUMENTUM HLDGS INC
$68,506,910
SEAGATE HDD CAYMAN
$35,998,922
CNX RES CORP
$34,424,204
OCCIDENTAL PETE CORP
$20,899,073

Largest New Holdings this Quarter

501812AD3 - LCI INDS
$7,852,105 Holding
21924B302 - CORNERSTONE STRATEGIC INVEST
$7,585,290 Holding
69349HAF4 - TXNM ENERGY INC
$6,675,000 Holding
30231G902 - EXXON MOBIL CORP
$5,089,800 Holding
91232N957 - UNITED STS OIL FD LP
$4,962,750 Holding

Largest Purchases this Quarter

LUMENTUM HLDGS INC
7,340,000 shares (about $51.84M)
OCCIDENTAL PETE CORP
321,591 shares (about $13.81M)
CNX RES CORP
3,497,000 shares (about $10.49M)
LCI INDS
6,500,000 shares (about $7.85M)
CORNERSTONE STRATEGIC INVEST
1,041,935 shares (about $7.59M)

Largest Sales this Quarter

STATE STR SPDR S&P 500 ETF T
323,000 shares (about $210.06M)
POST HLDGS INC
6,888,000 shares (about $7.47M)
VENTAS RLTY LTD PARTNERSHIP
4,854,000 shares (about $7.27M)
INVESCO QQQ TR
10,000 shares (about $5.77M)
PALANTIR TECHNOLOGIES INC
21,000 shares (about $3.07M)

Sector Allocation Over Time

Map of 500 Largest Holdings ofWarberg Asset Management LLC

 
 
Selling
 
 
Neutral
 
 
Buying
Issuer NameHoldings ValueApproximate Purchase/SaleChange in SharesShares Held% of PortfolioSector
STATE STR SPDR S&P 500 ETF T
$201,605,400$210,059,820 â–¼-51.0%310,00033.6%PUT
LUMENTUM HLDGS INC
$68,506,910$51,839,249 â–²311.0%9,700,00011.4%NOTE 0.500%12/1
SEAGATE HDD CAYMAN
$35,998,922$6,202,133 â–²20.8%7,592,0006.0%NOTE 3.500% 6/0
CNX RES CORP
$34,424,204$10,492,586 â–²43.8%11,473,0005.7%NOTE 2.250% 5/0
OCCIDENTAL PETE CORP
$20,899,073$13,814,655 â–²195.0%486,5093.5%*W EXP 08/03/202
MICROCHIP TECHNOLOGY INC.
$20,435,0400.0%11,106,0003.4%NOTE 1.625% 2/1
INVESCO QQQ TR
$20,201,300$5,771,800 â–¼-22.2%35,0003.4%PUT
LIVE NATION ENTERTAINMENT IN
$16,223,469$62,410 â–²0.4%10,658,0002.7%NOTE 3.125% 1/1
WISDOMTREE INC
$10,188,172$3,560,312 â–²53.7%7,712,0001.7%NOTE 3.250% 6/1
VENTAS RLTY LTD PARTNERSHIP
$8,070,927$7,269,675 â–¼-47.4%5,389,0001.3%NOTE 3.750% 6/0
LCI INDS
$7,852,105$7,852,105 â–²New Holding6,500,0001.3%NOTE 3.000% 3/0
HALOZYME THERAPEUTICS INC
$7,717,481$2,572,494 â–¼-25.0%6,000,0001.3%NOTE 1.000% 8/1
CORNERSTONE STRATEGIC INVEST
$7,585,290$7,585,290 â–²New Holding1,041,9351.3%COM
TXNM ENERGY INC
$6,675,000$6,675,000 â–²New Holding5,000,0001.1%NOTE 5.750% 6/0
ALNYLAM PHARMACEUTICALS INC
$6,421,5680.0%5,002,0001.1%NOTE 1.000% 9/1
ASTRONICS CORP
$5,198,731$3,116,153 â–²149.6%1,685,0000.9%NOTE 5.500% 3/1
EXXON MOBIL CORP
$5,089,800$5,089,800 â–²New Holding30,0000.8%CALL
UNITED STS OIL FD LP
$4,962,750$4,962,750 â–²New Holding39,0000.8%PUT
SNOWFLAKE INC
$4,889,499$4,889,499 â–²New Holding4,000,0000.8%NOTE 10/0
ISHARES TR
$4,334,5000.0%50,0000.7%PUT
NVIDIA CORPORATION
$3,836,800$1,395,200 â–²57.1%22,0000.6%PUT
CENTERPOINT ENERGY INC
$3,556,4250.0%3,000,0000.6%NOTE 4.250% 8/1
WISDOMTREE INC
$3,337,5000.0%2,500,0000.6%NOTE 3.250% 8/1
AKAMAI TECHNOLOGIES INC
$2,857,703$2,857,703 â–²New Holding2,500,0000.5%NOTE 1.125% 2/1
ALBEMARLE CORP
$2,766,225$1,901,582 â–²219.9%38,5000.5%7.25% DEP SHS A
SHIFT4 PMTS INC
$2,721,260$2,721,260 â–²New Holding49,9910.5%6 SER A CNV PREF
CANTALOUPE INC
$2,555,484$114,586 â–²4.7%236,4000.4%PUT
UBER TECHNOLOGIES INC
$2,352,589$60,230 â–²2.6%1,953,0000.4%NOTE 0.875%12/0
CORE SCIENTIFIC INC NEW
$2,341,446$402,040 â–²20.7%267,9000.4%*W EXP 01/23/202
EPR PPTYS
$2,259,259$62,833 â–²2.9%99,9230.4%PFD C CV 5.75%
IRHYTHM HOLDINGS INC
$2,194,979$2,194,979 â–²New Holding2,000,0000.4%NOTE 1.500% 9/0
POST HLDGS INC
$2,169,217$7,470,783 â–¼-77.5%2,000,0000.4%NOTE 2.500% 8/1
WORKIVA INC
$2,111,721$2,871,383 â–¼-57.6%2,121,0000.4%NOTE 1.125% 8/1
Stereotaxis Inc. stock logo
STXS
Stereotaxis
$2,013,186$24,903 â–¼-1.2%1,094,1230.3%Medical
BANK AMERICA CORP
$1,787,340$747,108 â–²71.8%1,5000.3%7.25%CNV PFD L
Energy Select Sector SPDR Fund stock logo
XLE
Energy Select Sector SPDR Fund
$1,769,875$1,769,875 â–²New Holding28,9030.3%ETF
STRATEGY INC
$1,747,200$1,747,200 â–²New Holding14,0000.3%CALL
Invesco QQQ stock logo
QQQ
Invesco QQQ
$1,731,540$1,731,540 â–²New Holding3,0000.3%Finance
iShares 0-3 Month Treasury Bond ETF stock logo
SGOV
iShares 0-3 Month Treasury Bond ETF
$1,703,972$1,703,972 â–²New Holding16,9280.3%ETF
EVERGY INC
$1,578,808$686,086 â–²76.9%1,169,0000.3%NOTE 4.500%12/1
FG IMPERII ACQUISITION CORP
$1,530,491$1,530,491 â–²New Holding154,9080.3%ORD SHS CL A
NOBLE CORP PLC
$1,499,074$83,713 â–²5.9%56,9990.3%*W EXP 02/04/202
EPR PPTYS
$1,497,491$187,050 â–¼-11.1%49,2920.2%CONV PFD 9% SR E
SELECT SECTOR SPDR TR
$1,481,100$493,700 â–²50.0%30,0000.2%PUT
XSOLLA SPAC 1
$1,405,690$1,405,690 â–²New Holding143,0000.2%USD CL A ORD SHS
OCCIDENTAL PETE CORP
$1,300,000$1,300,000 â–²New Holding20,0000.2%CALL
STARBUCKS CORP
$1,254,260$1,254,260 â–²New Holding14,0000.2%PUT
VENDOME ACQUISITION CORP I
$1,202,918$197,317 â–¼-14.1%118,9830.2%COM CL A
PALANTIR TECHNOLOGIES INC
$1,170,240$3,071,880 â–¼-72.4%8,0000.2%PUT
CARVANA CO
$1,131,768$1,697,652 â–¼-60.0%3,6000.2%PUT
TAVIA ACQUISITION CORP
$1,102,0420.0%104,3600.2%SHS
New England Realty Associates Limited Partnership stock logo
NEN
New England Realty Associates Limited Partnership
$1,073,072$40,302 â–²3.9%17,7060.2%Real Estate
PONO CAP FOUR INC
$1,047,900$1,047,900 â–²New Holding105,0000.2%UNIT 03/11/2031
CHARLTON ARIA ACQUISITION CO
$1,042,878$11 â–¼0.0%98,6640.2%ORD SHS CL A
CLEARTHINK 1 ACQUISITION COR
$984,015$984,015 â–²New Holding98,5000.2%UNIT 01/26/2031
PRAETORIAN ACQUISITION CORP
$979,990$979,990 â–²New Holding99,9990.2%ORD SHS CL A
DRUGS MADE IN AMER ACQUTN CO
$966,107$10 â–¼0.0%92,0540.2%ORD SHS
ISHARES TR
$954,720$1,432,080 â–¼-60.0%12,0000.2%PUT
NOBLE CORP PLC
$912,670$912,670 â–²New Holding29,8550.2%*W EXP 02/04/202
ORIGIN INVT CORP I
$851,9860.0%83,6100.1%ORD SHS
BLACK HAWK ACQUISITION CORP
$840,7550.0%72,3230.1%USD CL A SHS
PG&E CORP
$825,790$70,280 â–¼-7.8%47,0000.1%CALL
KOCHAV DEFENSE ACQUI CO
$786,995$113 â–¼0.0%76,7800.1%SHS CL A
BARCLAYS BANK PLC
$785,400$39,270 â–²5.3%22,0000.1%CALL
TRANSLATIONAL DEV ACQUISITIO
$776,8050.0%73,4220.1%COM CL A
NUTANIX INC
$773,3740.0%757,0000.1%NOTE 0.250%10/0
MOSAIC CO
$765,000$127,500 â–²20.0%30,0000.1%CALL
D BORAL ACQUISITION I CORP
$759,220$759,220 â–²New Holding77,0000.1%ORD SHS CL A
SILICON VY ACQUISITION CORP
$741,750$741,750 â–²New Holding75,0000.1%CL A
X3 ACQUISITION CORP LTD
$738,000$738,000 â–²New Holding75,0000.1%ORD SHS CL A
VINE HILL CAP INVTS CORP II
$697,920$697,920 â–²New Holding70,4970.1%CL A
RF ACQUISITION CORP III
$685,300$685,300 â–²New Holding70,0000.1%ORD SHS
MICRON TECHNOLOGY INC
$675,680$337,840 â–¼-33.3%2,0000.1%CALL
VALARIS LTD
$663,025$663,025 â–²New Holding41,4650.1%*W EXP 04/29/202
Financial Select Sector SPDR Fund stock logo
XLF
Financial Select Sector SPDR Fund
$641,940$641,940 â–²New Holding13,0000.1%ETF
CENTURY ALUM CO
$588,7010.0%188,0000.1%NOTE 2.750% 5/0
PROEM ACQUISITION CORP I
$514,743$514,743 â–²New Holding51,5000.1%UNIT 01/29/2031
CAL REDWOOD ACQUISITION CORP
$506,9840.0%49,9000.1%COM CL A
BHAV ACQUISITION CORP
$499,000$499,000 â–²New Holding50,0000.1%UNIT 03/18/2031
ART TECHNOLOGY ACQUISITION C
$490,750$490,750 â–²New Holding50,0000.1%USD CL A ORD SHS
iShares iBoxx $ High Yield Corporate Bond ETF stock logo
HYG
iShares iBoxx $ High Yield Corporate Bond ETF
$477,420$477,420 â–²New Holding6,0000.1%ETF
CROWN RESV ACQUISITION CORP
$471,571$22,022 â–¼-4.5%47,1100.1%ORD SHS CL A
SC II ACQUISITION CORP
$460,614$460,614 â–²New Holding46,2000.1%ORD SHS CLASS A
MILUNA ACQUISITION CORP
$460,350$110 â–¼0.0%45,9890.1%USD CL A ORD SHS
THAYER VENTURES ACQ CORP II
$455,4830.0%44,6990.1%CL A
INDIGO ACQUISITION CORP
$452,5890.0%44,6120.1%ORD SHS
PAYPAL HLDGS INC
$452,300$452,300 â–²New Holding10,0000.1%CALL
LAKE SUPERIOR ACQUISITION CO
$451,2680.0%44,9470.1%USD CL A ORD SHS
PLANET LABS PBC
$445,400$211,563 â–²90.5%27,0760.1%*W EXP 12/06/202
Post Holdings, Inc. stock logo
POST
Post
$444,8700.0%4,5000.1%Consumer Staples
AMPRIUS TECHNOLOGIES INC
$434,184$434,184 â–²New Holding63,2000.1%*W EXP 09/14/202
Goldman Sachs Access Treasury 0-1 Year ETF stock logo
GBIL
Goldman Sachs Access Treasury 0-1 Year ETF
$400,760$400,760 â–²New Holding4,0000.1%ETF
THE TRADE DESK INC
$385,730$385,730 â–²New Holding17,0000.1%CALL
USA RARE EARTH INC
$383,4150.0%25,3330.1%COM
HARVARD AVE ACQUISITION CORP
$375,1880.0%37,5000.1%USD CL A ORD SHS
GLOBA TERRA ACQUISITION COR
$369,8970.0%36,3000.1%CL A ORD SHS
OCCIDENTAL PETE CORP
$357,5000.0%5,5000.1%PUT
OTG ACQUISITION CORP. I
$356,5060.0%35,4380.1%ORD CL A
CHAMPIONSGATE ACQUISITION CO
$356,1060.0%34,7420.1%SHS CL A
NEXTERA ENERGY CAP HLDGS INC
$352,9300.0%254,0000.1%NOTE 3.000% 3/0

Showing largest 100 holdings. View all holdings.
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