WARBERG ASSET MANAGEMENT LLC
Adviser information for WARBERG 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 | 9 |
|---|---|
| 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 | 20 | $810.3M |
| Non-Discretionary | 2 | $16.6M |
| Total | 22 | $827.0M |
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 | 5 | $723.7M |
| 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 | 4 | $103.3M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Principal Office
716 OAK STREETWINNETKA
IL
United States
Monday - Friday, 7:30-5:00
Tel: 847-418-8305, Fax: 847-559-5807
Chief Compliance Officer
TRACY LANCASTER
716 OAK STREET
WINNETKA
IL
United States
Tel:
(847) 418-8305
Fax:
(847) 559-5807
T*********@************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| WARBERG CA FUND LP | Hedge Fund | $573.7M | $0.3M | 78 |
| WARBERG SPAC FUND LP | Hedge Fund | $22.8M | $0.5M | 18 |
| WARBERG SPECIAL SITUATIONS FUND LP | Hedge Fund | $10.6M | $0.5M | 10 |
| WARBERG WF X, LP | Hedge Fund | $61.6M | $0.3M | 48 |
| WARBERG WF XI LP | Hedge Fund | $55.0M | $0.3M | 43 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WARSH, DANIEL, IRWIN | Individual | – | MANAGING MEMBER | 02/2009 | 50-75% |
| BLUMBERG, JONATHAN, ALAN | Individual | – | MANAGING MEMBER | 02/2009 | 25-50% |
| LANCASTER, TRACY, LEE | Individual | – | CCO/CFO | 03/2018 | < 5% |
| GRAD, BRIAN, REEVES | Individual | – | OWNER | 01/2022 | 5-10% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 9th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| PASITHEA THERAPEUTICS CORP | *W EXP 08/12/202 | 4K | 279K | – |
| STEREOTAXIS INC | COM NEW | 821K | 461K | – |
| PAGAYA TECHNOLOGIES LTD | *W EXP 99/99/999 | 3K | 30K | – |
| AURORA INNOVATION INC | *W EXP 11/03/202 | 4K | 20K | – |
| VICARIOUS SURGICAL INC | *W EXP 09/17/202 | 3K | 112K | – |
| CHESAPEAKE ENERGY CORP | *W EXP 02/09/202 | 3M | 38K | – |
| CHESAPEAKE ENERGY CORP | *W EXP 02/09/202 | 1M | 16K | – |
| CHESAPEAKE ENERGY CORP | *W EXP 02/09/202 | 4M | 52K | – |
| EPR PPTYS | PFD C CV 5.75% | 1M | 60K | – |
| RBC BEARINGS INC | 5% CNV PFD SR A | 926K | 8K | – |
| NOBLE CORP PLC | PUT | 701K | 16K | – |
| MAXEON SOLAR TECHNOLOGIES LT | PUT | 62K | 73K | – |
| AKAMAI TECHNOLOGIES INC | NOTE 0.375% 9/0 | 795K | – | – |
| WORKIVA INC | NOTE 1.125% 8/1 | 3M | – | – |
| ETSY INC | NOTE 0.125%10/0 | 2M | – | – |
| SOUTHWEST AIRLS CO | NOTE 1.250% 5/0 | 3M | – | – |
| JAZZ INVESTMENTS I LTD | NOTE 2.000% 6/1 | 2M | – | – |
| PARSONS CORP DEL | NOTE 0.250% 8/1 | 16M | – | – |
| MIDDLEBY CORP | NOTE 1.000% 9/0 | 2M | – | – |
| BOX INC | NOTE 1/1 | 2M | – | – |
| TYLER TEX INDPT SCH DIST | NOTE 0.250% 3/1 | 4M | – | – |
| FORD MTR CO DEL | NOTE 3/1 | 4M | – | – |
| MACOM TECH SOLUTIONS HLDGS I | NOTE 0.250% 3/1 | 7M | – | – |
| PROGRESS SOFTWARE CORP | NOTE 1.000% 4/1 | 6M | – | – |
| GREENBRIER COS INC | NOTE 2.875% 4/1 | 166K | – | – |
| NUTANIX INC | NOTE 0.250%10/0 | 5M | – | – |
| INTERDIGITAL INC | NOTE 3.500% 6/0 | 8M | – | – |
| AXON ENTERPRISE INC | NOTE 0.500%12/1 | 9M | – | – |
| INTEGER HLDGS CORP | NOTE 2.125% 2/1 | 4M | – | – |
| SAREPTA THERAPEUTICS INC | DBCV 1.500%11/1 | 2M | – | – |
| AKAMAI TECHNOLOGIES INC | NOTE 0.125% 5/0 | 7M | – | – |
| MICROCHIP TECHNOLOGY INC. | NOTE 1.625% 2/1 | 98K | – | – |
| MICROCHIP TECHNOLOGY INC. | NOTE 1.625% 2/1 | 24M | – | – |
| MICROCHIP TECHNOLOGY INC. | NOTE 0.125%11/1 | 204K | – | – |
| MICROSTRATEGY INC | NOTE 2/1 | 5M | – | – |
| PERMIAN RESOURCES CORP | NOTE 3.250% 4/0 | 898K | – | – |
| INSMED INC | NOTE 0.750% 6/0 | 5M | – | – |
| STRIDE INC | NOTE 1.125% 9/0 | 297K | – | – |
| NRG ENERGY INC | DBCV 2.750% 6/0 | 11M | – | – |
| ROYAL CARIBBEAN GROUP | NOTE 6.000% 8/1 | 588K | – | – |
| CHART INDS INC | NOTE 1.000%11/1 | 10M | – | – |
| INSMED INC | NOTE 1.750% 1/1 | 3M | – | – |
| VISHAY INTERTECHNOLOGY INC | NOTE 2.250% 6/1 | 702K | – | – |
| REPLIGEN CORP | NOTE 0.375% 7/1 | 12M | – | – |
| RH | NOTE 9/1 | 7M | – | – |
| UNITED STATES STL CORP | NOTE 5.000%11/0 | 19M | – | – |
| WINNEBAGO INDS INC | NOTE 1.500% 4/0 | 88K | – | – |
| SEA LTD | NOTE 1.000%12/0 | 5M | – | – |
| MONGODB INC | NOTE 0.250% 1/1 | 1M | – | – |
| BOOKING HOLDINGS INC | NOTE 0.750% 5/0 | 19M | – | – |
| DEXCOM INC | NOTE 0.250%11/1 | 438K | – | – |
| BLOOMIN BRANDS INC | NOTE 5.000% 5/0 | 12M | – | – |
| HUBSPOT INC | NOTE 0.375% 6/0 | 11M | – | – |
| PALO ALTO NETWORKS INC | NOTE 0.375% 6/0 | 31M | – | – |
| ATI INC | NOTE 3.500% 6/1 | 20M | – | – |
| TRANSOCEAN INC | DEB 4.625% 9/3 | 1M | – | – |
| SOUTHERN CO | NOTE 3.875%12/1 | 42K | – | – |
| GUESS INC | NOTE 3.750% 4/1 | 548K | – | – |
| ISHARES TR | SHORT TREAS BD | 1M | 10K | – |
| SPDR SER TR | BLOOMBERG 1-3 MO | 321K | 4K | – |
| MARIS TECH LTD | *W EXP 02/04/202 | 16K | 195K | – |
| ANGHAMI INC | *W EXP 02/03/202 | 962 | 40K | – |
| FGI INDUSTRIES LTD | *W EXP 01/21/202 | 18K | 121K | – |
| ZURA BIO LTD | *W EXP 99/99/999 | 5K | 13K | – |
| WORKSPORT LTD | *W EXP 08/06/202 | 2K | 24K | – |
| MICROCLOUD HOLOGRAM INC | *W EXP 01/31/202 | 1K | 33K | – |
| DIANA SHIPPING INC | *W EXP 12/14/202 | 72K | 127K | – |
| MURANO GLOBAL INVTS PLC | *W EXP 03/19/202 | 5K | 28K | – |
| JOBY AVIATION INC | *W EXP 08/10/202 | 74K | 127K | – |
| NOBLE CORP PLC | *W EXP 02/04/202 | 2M | 75K | – |
| 60 DEGREES PHARMACEUTICALS I | *W EXP 07/12/202 | 2K | 30K | – |
| ONFOLIO HOLDINGS INC | *W EXP 01/02/202 | 18K | 74K | – |
| CEA INDUSTRIES INC | *W EXP 02/11/202 | 1K | 80K | – |
| ALPHA STAR ACQUISITION CORP | *W EXP 12/13/202 | 192 | 16K | – |
| AERIES TECHNOLOGY INC | *W EXP 11/06/202 | 3K | 95K | – |
| RENEW ENERGY GLOBAL PLC | *W EXP 08/21/202 | 142K | 259K | – |
| BANNIX ACQUISITION CORP | *W EXP 07/31/202 | 864 | 43K | – |
| BRAND ENGAGEMENT NETWORK INC | *W EXP 03/14/202 | 315 | 10K | – |
| TIDEWATER INC NEW | *W EXP 11/14/202 | 325K | 33K | – |
| COINBASE GLOBAL INC | PUT | 2M | 8K | – |
| HIMS & HERS HEALTH INC | PUT | 606K | 30K | – |
| EQUINIX INC | PUT | 757K | 1K | – |
| CAVA GROUP INC | PUT | 371K | 4K | – |
| ABERCROMBIE & FITCH CO | PUT | 711K | 4K | – |
| CARVANA CO | PUT | 644K | 5K | – |
| APPLE INC | PUT | 1M | 5K | – |
| ISHARES SILVER TR | CALL | 797K | 30K | – |
| INTEL CORP | CALL | 619K | 20K | – |
| ESPERION THERAPEUTICS INC NE | CALL | 22K | 10K | – |
| PULSE BIOSCIENCES INC | CALL | 191K | 17K | – |
| NORDSTROM INC | CALL | 467K | 22K | – |
| FARADAY FUTURE INTLGT ELEC I | CALL | 12K | 24K | – |
| KINDLY MD INC | COM | 30K | 11K | – |
| GENELUX CORPORATION | COM | 20K | 10K | – |
| NEW ENGLAND RLTY ASSOC LTD P | DEPOSITRY RCPT | 904K | 13K | – |
| VANECK ETF TRUST | JUNIOR GOLD MINE | 380K | 9K | – |
| PRAIRIE OPER CO | COM | 127K | 12K | – |
| LILIUM N V | CLASS A ORD SHS | 27K | 34K | – |
| CEMTREX INC | COM NEW | 11K | 49K | – |
| ZENTEK LTD | COM | 17K | 12K | – |
| VBI VACCINES INC CDA | COM NEW | 17K | 25K | – |
| AILERON THERAPEUTICS INC | COM NEW | 86K | 31K | – |
| TIVIC HEALTH SYSTEMS INC | COM NEW | 31K | 80K | – |
| VIRPAX PHARMACEUTICALS INC | COM NEW | 10K | 20K | – |
| DUOS TECHNOLOGIES GROUP INC | COM | 36K | 13K | – |
| KINDLY MD INC | *W EXP 05/31/202 | 56K | 164K | – |
| CORE SCIENTIFIC INC NEW | *W EXP 01/23/202 | 1M | 267K | – |
| CORE SCIENTIFIC INC NEW | *W EXP 01/23/202 | 1M | 141K | – |
| AST SPACEMOBILE INC | *W EXP 04/06/202 | 59K | 14K | – |
| DATA STORAGE CORP | *W EXP 05/18/202 | 383K | 274K | – |
| CORE SCIENTIFIC INC NEW | PUT | 902K | 97K | – |
| ISHARES TR | PUT | 2M | 20K | – |
| B. RILEY FINANCIAL INC | PUT | 626K | 36K | – |
| NVIDIA CORPORATION | PUT | 15M | 119K | – |
| CANTALOUPE INC | PUT | 271K | 41K | – |
| VORNADO RLTY TR | PUT | 263K | 10K | – |
| MICROSOFT CORP | PUT | 13M | 28K | – |
| WALMART INC | CALL | 677K | 10K | – |
| APPLE INC | CALL | 1M | 5K | – |
| DOLLAR TREE INC | CALL | 1M | 10K | – |
| NVIDIA CORPORATION | COM | 309K | 3K | – |
| GRAYSCALE BITCOIN TR BTC | SHS REP COM UT | 337K | 6K | – |
| ELICIO THERAPEUTICS INC | COM | 49K | 12K | – |
| GAIN THERAPEUTICS INC | COM | 66K | 52K | – |
| AEROVATE THERAPEUTICS INC | COM | 111K | 67K | – |
| BLUEJAY DIAGNOSTICS INC | COM NEW | 9K | 13K | – |
| SELINA HOSPITALITY PLC | *W EXP 10/27/202 | 1K | 127K | – |
| TRUMP MEDIA & TECHNOLOGY GRO | *W EXP 03/25/202 | 8M | 395K | – |
| ZALATORIS II ACQUISITION COR | CLASS A ORD | 260K | 24K | – |
| VISION SENSING ACQUISITION C | CLASS A COM | 776K | 67K | – |
| ROTH CH ACQUISITION V CO | COM | 493K | 45K | – |
| CANNA GLOBAL ACQUISITION COR | CLASS A COM | 776K | 72K | – |
| INCEPTION GROWTH ACQUSTN LTD | COMMON STOCK | 199K | 18K | – |
| ZALATORIS ACQUISITION CORP | COM CL A | 745K | 67K | – |
| AROGO CAPITAL ACQUISITION CO | CLASS A COM | 876K | 80K | – |
| DUET ACQUISITION CORP | CLASS A COM | 562K | 50K | – |
| TECHNOLOGY & TELECOM ACQ COR | CLASS A ORD SHS | 208K | 17K | – |
| BYNORDIC ACQUISITION CORP | CLASS A COM | 134K | 12K | – |
| ARYA SCIENCES ACQU CORP IV | CL A | 151K | 13K | – |
| BLUERIVER ACQUISITION CORP | CL A ORD SHS | 888K | 80K | – |
| NOVA VISION ACQUISITION CORP | COM | 493K | 41K | – |
| CLIMATEROCK | CLASS A ORD | 866K | 75K | – |
| AURA FAT PROJS ACQUISITION C | CLASS A ORD | 315K | 28K | – |
| AIMFINITY INVESTMENT CORP I | UNIT 04/21/2027 | 275K | 24K | – |
| ACRI CAPITAL ACQUISITION COR | COM CL A | 309K | 27K | – |
| BELLEVUE LIFE SCNCS AQSTN CO | COM | 429K | 40K | – |
| FOUR LEAF ACQUISITION CORP | COM CL A | 831K | 76K | – |
| TRAILBLAZER MERGER CORP I | CL A | 473K | 44K | – |
| OAK WOODS ACQUISITION CORP | CL A | 707K | 65K | – |
| ESH ACQUISITION CORP | COM | 403K | 39K | – |
| BOWEN ACQUISITION CORP | SHS | 106K | 10K | – |
| KEEN VISION ACQUISITION CORP | SHS | 487K | 46K | – |
| 99 ACQUISITION GROUP INC | CL A | 737K | 70K | – |
| QUETTA ACQUISITION CORP | COM | 711K | 69K | – |
| AIMEI HEALTH TECHNOLOGY CO L | SHS | 155K | 15K | – |
| IRON HORSE ACQUISITIONS CORP | COM | 335K | 33K | – |
| DT CLOUD ACQUISITION CORP | ORD SHS | 263K | 26K | – |
| BLACK HAWK ACQUISITION CORP | USD CL A SHS | 752K | 74K | – |
| RF ACQUISITION CORP II | UNIT 05/01/2026 | 382K | 38K | – |
| PERCEPTIVE CAP SOLUTIONS COR | CL A ORD SHS | 310K | 31K | – |
| FLAG SHIP ACQUISITION CORP | UNIT 05/22/2029 | 100K | 10K | – |
| LIXTE BIOTECHNOLOGY HLDGS IN | *W EXP 11/30/202 | 2K | 38K | – |
| COMPOSECURE INC | *W EXP 12/27/202 | 354K | 795K | – |
| PYXIS TANKERS INC | *W EXP 10/13/202 | 115K | 95K | – |
| XBP EUROPE HOLDINGS INC | *W EXP 11/30/202 | 2K | 40K | – |
| NEXTPLAT CORP | *W EXP 06/02/202 | 24K | 60K | – |
| SPLASH BEVERAGE GROUP INC | *W EXP 06/15/202 | 7K | 138K | – |
| PROTAGENIC THERAPEUTICS INC | *W EXP 04/29/202 | 1K | 177K | – |
| CANNA GLOBAL ACQUISITION COR | *W EXP 99/99/999 | 1K | 90K | – |
| KAIROUS ACQUISITION CORP LTD | *W EXP 09/15/202 | 711 | 79K | – |
| NORTHVIEW ACQUISITION CORP | *W EXP 08/02/202 | 4K | 78K | – |
| INCEPTION GROWTH ACQUSTN LTD | *W EXP 10/15/202 | 6K | 80K | – |
| APPTECH PMTS CORP | *W EXP 01/04/202 | 22K | 58K | – |
| BT BRANDS INC | *W EXP 11/12/202 | 14K | 118K | – |
| CINGULATE INC | *W EXP 12/10/202 | 466 | 43K | – |
| NEUROSENSE THERAPEUTICS LTD | *W EXP 11/10/202 | 7K | 32K | – |
| SURGEPAYS INC | *W EXP 10/22/202 | 98K | 367K | – |
| STRAN & COMPANY INC | *W EXP 99/99/999 | 8K | 181K | – |
| OCEAN BIOMEDICAL INC | *W EXP 02/14/202 | 7K | 173K | – |
| DERMATA THERAPEUTICS INC | *W EXP 99/99/999 | 420 | 30K | – |
| CARBON REVOLUTION LTD | *W EXP 99/99/999 | 6K | 172K | – |
| THE LION ELECTRIC COMPANY | *W EXP 12/16/202 | 4K | 21K | – |
| BRIDGER AEROSPACE GRP HLDGS | *W EXP 01/24/202 | 3K | 25K | – |
| FOREMOST LITHIUM RES & TECH | *W EXP 08/24/202 | 49K | 114K | – |
| KWESST MICRO SYSTEMS INC | *W EXP 12/09/202 | 10K | 354K | – |
| HUB CYBER SECURITY LTD | *W EXP 02/27/202 | 4K | 171K | – |
| SMX SEC MATTERS PLC | *W EXP 03/07/202 | 991 | 99K | – |
| APOLLOMICS INC | *W EXP 04/01/202 | 7K | 512K | – |
| TENON MEDICAL INC | *W EXP 06/16/202 | 33K | 669K | – |
| BIOAFFINITY TECHNOLOGIES INC | *W EXP 09/07/202 | 6K | 14K | – |
| WEARABLE DEVICES LTD | *W EXP 09/14/202 | 7K | 117K | – |
| NEXALIN TECHNOLOGY INC | *W EXP 99/99/999 | 40K | 118K | – |
| TALKSPACE INC | *W EXP 06/21/202 | 50K | 498K | – |
| NOBLE CORP PLC | *W EXP 02/04/202 | 2M | 72K | – |
| OCCIDENTAL PETE CORP | *W EXP 08/03/202 | 42M | 1M | – |
| WHOLE EARTH BRANDS INC | *W EXP 06/25/202 | 13K | 313K | – |
| MOBILICOM LTD | *W EXP 08/31/202 | 11K | 87K | – |
| AINOS INC | *W EXP 07/29/202 | 1K | 19K | – |
| AROGO CAPITAL ACQUISITION CO | *W EXP 03/23/202 | 3K | 90K | – |
| NEOVOLTA INC | *W EXP 04/01/202 | 103K | 194K | – |
| SAVERONE 2014 LTD | *W EXP 06/02/202 | 10K | 161K | – |
| HNR ACQUISITION CORP | *W EXP 02/04/202 | 32K | 631K | – |
| SHARPS TECHNOLOGY INC | *W EXP 99/99/999 | 22K | 297K | – |
| IVEDA SOLUTIONS INC | *W EXP 04/01/202 | 3K | 35K | – |
| SPDR S&P 500 ETF TR | PUT | 198M | 364K | – |
| MODERNA INC | PUT | 475K | 4K | – |
| BLACKSTONE MTG TR INC | PUT | 348K | 20K | – |
| HERTZ GLOBAL HLDGS INC | PUT | 169K | 48K | – |
| INVESCO QQQ TR | PUT | 37M | 78K | – |
| CANTALOUPE INC | CALL | 471K | 71K | – |
| EXXON MOBIL CORP | CALL | 1M | 13K | – |
| VANECK ETF TRUST | CALL | 1M | 42K | – |
| INUVO INC | COM NEW | 5K | 20K | – |
| ORAGENICS INC | COM | 10K | 10K | – |
| AMPRIUS TECHNOLOGIES INC | COMMON STOCK | 170K | 134K | – |
| KWESST MICRO SYSTEMS INC | COM NEW | 52K | 112K | – |
| FUNDAMENTAL GLOBAL INC | COM | 12K | 13K | – |
| HERTZ GLOBAL HLDGS INC | COM NEW | 169K | 48K | – |
| HNR ACQUISITION CORP | COM CL A | 35K | 14K | – |
| CARMELL CORPORATION | COM | 60K | 45K | – |