SILVERBACK ASSET MANAGEMENT, LLC
Adviser information for SILVERBACK ASSET MANAGEMENT, LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 14 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 8 | $957.3M |
| Non-Discretionary | 0 | $0 |
| Total | 8 | $957.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 6 | $223.7M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $733.6M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 68 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
1414 RALEIGH ROADSUITE 250
CHAPEL HILL
NC
United States
Monday - Friday, 8AM - 5PM
Tel: 919-969-9300, Fax: 919-969-9828
Websites
Chief Compliance Officer
LAURA KLEBER
CCO
1414 RALEIGH ROAD
SUITE 250
CHAPEL HILL
NC
United States
Tel:
919-969-4325
Fax:
919-969-9828
L******@******************M
(Full email address available in API data)
Regulatory Contact
ELLIOT BOSSEN
CEO
1414 RALEIGH ROAD
SUITE 250
CHAPEL HILL
NC
United States
Tel:
919-969-4333
Fax:
919-969-9828
E******@******************M
(Full email address available in API data)
Industry Affiliates
| ELLIOT G BOSSEN | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| SILVERBACK CONVERTIBLE MASTER FUND LIMITED | Hedge Fund | $135.8M | $5.0M | 9 |
| SILVERBACK OPPORTUNISTIC CREDIT MASTER FUND LIMITED | Hedge Fund | $143.7M | $2.0M | 9 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BOSSEN, ELLIOT, GLEN | Individual | – | MANAGING MEMBER AND CHIEF EXECUTIVE OFFICER | 06/2002 | > 75% |
| KLEBER, LAURA, ANNE | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2017 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ACCOLADE INC | NOTE 0.500% 4/0 | 2M | – | – |
| AKAMAI TECHNOLOGIES INC | NOTE 0.125% 5/0 | 13M | – | – |
| ACCURAY INC DEL | NOTE 3.750% 6/0 | 11M | – | – |
| AXON ENTERPRISE INC | NOTE 0.500%12/1 | 14M | – | – |
| BANDWIDTH INC | NOTE 0.500% 4/0 | 5M | – | – |
| BRIDGEBIO PHARMA INC | NOTE 2.250% 2/0 | 8M | – | – |
| BLOOM ENERGY CORP | NOTE 3.000% 6/0 | 4M | – | – |
| BIGCOMMERCE HLDGS INC | NOTE 0.250%10/0 | 6M | – | – |
| BIORA THERAPEUTICS INC | NOTE 7.250%12/0 | 1M | – | – |
| BENTLEY SYS INC | NOTE 0.375% 7/0 | 10M | – | – |
| BURLINGTON STORES INC | NOTE 2.250% 4/1 | 4M | – | – |
| BEYOND MEAT INC | NOTE 3/1 | 7M | – | – |
| CABLE ONE INC | NOTE 3/1 | 12M | – | – |
| CRACKER BARREL OLD CTRY STOR | NOTE 0.625% 6/1 | 8M | – | – |
| CONFLUENT INC | NOTE 1/1 | 2M | – | – |
| CHEGG INC | NOTE 9/0 | 10M | – | – |
| CUTERA INC | NOTE 2.250% 6/0 | 5M | – | – |
| 3D SYS CORP DEL | NOTE 11/1 | 6M | – | – |
| DATADOG INC | NOTE 0.125% 6/1 | 18M | – | – |
| DIGITALOCEAN HLDGS INC | NOTE 12/0 | 11M | – | – |
| DEXCOM INC | NOTE 0.250%11/1 | 15M | – | – |
| EVENTBRITE INC | NOTE 0.750% 9/1 | 7M | – | – |
| 8X8 INC NEW | NOTE 4.000% 2/0 | 15M | – | – |
| STANDARD BIOTOOLS INC | NOTE 5.250%12/0 | 5M | – | – |
| FUBOTV INC | NOTE 3.250% 2/1 | 15M | – | – |
| GUARDANT HEALTH INC | NOTE 11/1 | 6M | – | – |
| GROUPON INC | NOTE 1.125% 3/1 | 13M | – | – |
| INFINERA CORP | NOTE 2.500% 3/0 | 31M | – | – |
| INFINERA CORP | NOTE 3.750% 8/0 | 19M | – | – |
| INTEGER HLDGS CORP | NOTE 2.125% 2/1 | 9M | – | – |
| ITRON INC | NOTE 3/1 | 8M | – | – |
| LUMENTUM HLDGS INC | NOTE 0.500%12/1 | 7M | – | – |
| LIVEPERSON INC | NOTE 12/1 | 16M | – | – |
| STRIDE INC | NOTE 1.125% 9/0 | 25M | – | – |
| SOUTHWEST AIRLS CO | NOTE 1.250% 5/0 | 5M | – | – |
| MONGODB INC | NOTE 0.250% 1/1 | 10M | – | – |
| MACOM TECH SOLUTIONS HLDGS I | NOTE 0.250% 3/1 | 20M | – | – |
| NEOGENOMICS INC | NOTE 0.250% 1/1 | 8M | – | – |
| INOTIV INC | NOTE 3.250%10/1 | 6M | – | – |
| NUTANIX INC | NOTE 0.250%10/0 | 8M | – | – |
| NOVA LTD | NOTE 10/1 | 58M | – | – |
| ENVISTA HOLDINGS CORPORATION | NOTE 2.375% 6/0 | 4M | – | – |
| PAR TECHNOLOGY CORP | NOTE 2.875% 4/1 | 17M | – | – |
| IMPINJ INC | NOTE 1.125% 5/1 | 10M | – | – |
| POST HLDGS INC | NOTE 2.500% 8/1 | 1M | – | – |
| PROS HOLDINGS INC | NOTE 2.250% 9/1 | 10M | – | – |
| REVANCE THERAPEUTICS INC | NOTE 1.750% 2/1 | 12M | – | – |
| DISH NETWORK CORPORATION | NOTE 3.375% 8/1 | 23M | – | – |
| SHOPIFY INC | NOTE 0.125%11/0 | 7M | – | – |
| SEMTECH CORP | NOTE 1.625%11/0 | 19M | – | – |
| TELADOC HEALTH INC | NOTE 1.250% 6/0 | 5M | – | – |
| TPI COMPOSITES INC | NOTE 5.250% 3/1 | 4M | – | – |
| TRAVERE THERAPEUTICS INC | NOTE 2.250% 3/0 | 10M | – | – |
| VERITONE INC | NOTE 1.750%11/1 | 6M | – | – |
| VIAVI SOLUTIONS INC | NOTE 1.625% 3/1 | 14M | – | – |
| VROOM INC | NOTE 0.750% 7/0 | 17M | – | – |
| WAYFAIR INC | NOTE 1.000% 8/1 | 2M | – | – |
| WAYFAIR INC | NOTE 3.500%11/1 | 27M | – | – |
| AKOUSTIS TECHNOLOGIES INC | COM | 334K | 3M | – |
| HARMONIC INC | COM | 10M | 875K | – |
| MAGNACHIP SEMICONDUCTOR CORP | COM | 1M | 220K | – |
| NOBLE CORP PLC | ORD SHS A | 2M | 37K | – |
| RUMBLEON INC | COM CL B | 2M | 594K | – |
| STANDARD BIOTOOLS INC | COM | 55K | 31K | – |
| VALARIS LTD | CL A | 2M | 28K | – |
| VROOM INC | COM NEW | 29K | 3K | – |
| AVADEL PHARMACEUTICALS PLC | COM SHS | 1M | 100K | – |
| DANIMER SCIENTIFIC INC | COM CL A | 34K | 57K | – |
| INOTIV INC | COM | 117K | 71K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 54M | 100K | – |
| AIRSHIP AI HLDGS INC | COM | 45K | 13K | – |
| NOBLE CORP PLC | ORD SHS A | 447K | 10K | – |
| NOBLE CORP PLC | ORD SHS A | 893K | 20K | – |
| THE REALREAL INC | COM | 2M | 730K | – |
| VERITONE INC | COM | 734K | 325K | – |
| ZAPP ELEC VEHS GROUP LTD | SHS NEW | 16K | 8K | – |
| DANIMER SCIENTIFIC CORP | NOTE 3.250 12/15/26 | 6M | – | – |
| LUMINAR TECHNOLOGIES INC | NOTE 1.250 12/15/26 | 14M | – | – |
| LUCID GROUP INC | NOTE 1.250 12/15/26 | 23M | – | – |
| PORCH GROUP INC | NOTE 6.750 10/01/28 | 18M | – | – |
| PORCH GROUP INC | NOTE 0.75 09/15/26 | 4M | – | – |
| REPAY HOLDINGS CORP | NOTE 0% 02/01/26 | 2M | – | – |
| BEAUTY HEALTH CO | NOTE 1.250 10/01/26 | 8M | – | – |
| STEM INC | NOTE 4.250 04/01/30 | 6M | – | – |