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Silverback Asset Management

Filed: 15 Nov 21, 1:10pm

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F INFORMATION TABLE

OMB APPROVAL
OMB Number:3235-0006
Expires:Oct 31, 2018
Estimated average burden
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COLUMN 1COLUMN 2COLUMN 3COLUMN 4COLUMN 5COLUMN 6COLUMN 7COLUMN 8
VALUESHRS ORSH/PUT/INVESTMENTOTHERVOTING AUTHORITY
NAME OF ISSUERTITLE OF CLASSCUSIP(x$1000)PRN AMTPRNCALLDISCRETIONMANAGERSOLESHAREDNONE
ACCELERATE ACQUISITION CORPCOM CL A00439D102973100,000SH SOLE 100,00000
ACCELERATE ACQUISITION CORP*W EXP 06/15/20200439D1103133,263SH SOLE 33,26300
AERIE PHARMACEUTICALS INCNOTE 1.500%10/000771VAB42,3032,500,000PRN SOLE 2,500,00000
AKOUSTIS TECHNOLOGIES INCCOM00973N1029,7751,007,704SH SOLE 1,007,70400
ARROWROOT ACQUISITION CORPCL A COM04282M10248650,000SH SOLE 50,00000
ASTREA ACQUISITION CORPCOM CL A04637C10610010,000SH SOLE 10,00000
B RILEY PRIN 250 MERGER CORPCLASS A COM05602L1049710,000SH SOLE 10,00000
BANDWIDTH INCNOTE 0.250% 3/005988JAB914,07911,745,000PRN SOLE 11,745,00000
Beyond Meat IncNote 0.0000% 15-Mar-202708862EAA710,13411,750,000PRN SOLE 11,750,00000
BLACKLINE INCNOTE 0.125% 8/009239BAB53,3562,000,000PRN SOLE 2,000,00000
Blackline IncNote 0.0000% 15-Mar-202609239BAC319,20819,500,000PRN SOLE 19,500,00000
BLOOM ENERGY CORPNOTE 2.500% 8/1093712AH012,0008,775,000PRN SOLE 8,775,00000
BOA ACQUISITION CORPCOM CL A05601A1099910,208SH SOLE 10,20800
CHEGG INCNOTE 0.125% 3/1163092AD123,72916,500,000PRN SOLE 16,500,00000
CIIG CAPITAL PARTNERS II INCUNIT 02/28/202812561U20820220,000SH SOLE 20,00000
COUPA SOFTWARE INCNOTE 0.125% 6/122266LAC028,05518,572,000PRN SOLE 18,572,00000
CRUCIBLE ACQUISITION CORPCOM CL A22877P10824525,000SH SOLE 25,00000
D AND Z MEDIA ACQUISITION COCOM CL A23305Q1063440SH SOLE 000
DISH Network CorpNote 0.0000% 15-Dec-202525470MAE938,59932,300,000PRN SOLE 32,300,00000
EAGLE BULK SHIPPING INCNOTE 5.000% 8/0269442AB520,16813,530,000PRN SOLE 13,530,00000
ENCORE CAP GROUP INCNOTE 3.250%10/0292554AM419,84314,250,000PRN SOLE 14,250,00000
Enphase Energy Inc Tranche ANote 0.0000% 01-Mar-202629355AAG212,73713,577,000PRN SOLE 13,577,00000
ETSY INCNOTE 0.125%10/029786AAJ523,0559,500,000PRN SOLE 9,500,00000
Fastly Inc (Pending)Note 0.0000% 15-Mar-202631188VAA810,86812,900,000PRN SOLE 12,900,00000
FLEXION THERAPEUTICS INCNOTE 3.375% 5/033938JAB28,2549,210,000PRN SOLE 9,210,00000
FLUIDIGM CORP DELCOM34385P1081,883285,744SH SOLE 285,74400
fuboTV IncNote 3.2500% 15-Feb-202635953DAA210,16411,239,000PRN SOLE 11,239,00000
GLASS HOUSES ACQUISITION CORCLASS A COM37714P10348950,000SH SOLE 50,00000
GX ACQUISITION CORP IICLASS A COM36260F10524325,000SH SOLE 25,00000
GX ACQUISITION CORP II*W EXP 03/17/20236260F11348,333SH SOLE 8,33300
HARMONIC INCDBCV 2.000% 9/0413160AD421,97118,000,000PRN SOLE 18,000,00000
II-VI INCNOTE 0.250% 9/0902104AB421,11615,899,000PRN SOLE 15,899,00000
INFINERA CORPNOTE 2.125% 9/045667GAC718,05716,195,000PRN SOLE 16,195,00000
INFINERA CORPNOTE 2.500% 3/045667GAE35,3244,001,000PRN SOLE 4,001,00000
INOTIV INCCOM45783Q10043915,000SH SOLE 15,00000
INVACARE CORPNOTE 5.000%11/1461203AL510,53711,500,000PRN SOLE 11,500,00000
Invacare Corp (Pending)Note 4.2500% 15-Mar-2026461203AP67,1298,500,000PRN SOLE 8,500,00000
Ivanhoe Mines LtdNote 2.5000% 15-Apr-202646579RAA26,9866,000,000PRN SOLE 6,000,00000
KAMAN CORPNOTE 3.250% 5/0483548AF07,5327,407,000PRN SOLE 7,407,00000
KHOSLA VENTURES ACQUT CO IIICOM CL A4825061029810,000SH SOLE 10,00000
KL ACQUISITION CORPCOM CL A49837C10924425,000SH SOLE 25,00000
LIVE NATION ENTERTAINMENT INNOTE 2.500% 3/1538034AQ29,6296,652,000PRN SOLE 6,652,00000
LUMENTUM HLDGS INCNOTE 0.500%12/155024UAD122,05020,000,000PRN SOLE 20,000,00000
LYFT INCNOTE 1.500% 5/155087PAB018,68312,000,000PRN SOLE 12,000,00000
MAGNACHIP SEMICONDUCTOR CORPCOM55933J2034,458251,013SH SOLE 251,01300
Magnite IncNote 0.2500% 15-Mar-202655955DAA810,92812,847,000PRN SOLE 12,847,00000
MASON INDUSTRIAL TECHNOLGY ICOM CL A57520Y10624425,000SH SOLE 25,00000
MCAP ACQUISITION CORPCOM CL A55282T1091,326134,300SH SOLE 134,30000
MCAP ACQUISITION CORP*W EXP 03/02/20255282T1172927,191SH SOLE 27,19100
MicroStrategy IncNote 0.0000% 15-Feb-2027594972AD35,9358,000,000PRN SOLE 8,000,00000
NEWBURY STREET ACQUISITN CORCOM65101L1049710,000SH SOLE 10,00000
OKTA INCNOTE 0.125% 9/0679295AD716,10111,389,000PRN SOLE 11,389,00000
OSIRIS ACQUISITION CORPCL A68829A1039810,000SH SOLE 10,00000
PALO ALTO NETWORKS INCNOTE 0.375% 6/0697435AF211,8147,125,000PRN SOLE 7,125,00000
PARATEK PHARMACEUTICALS INCNOTE 4.750% 5/0699374AB08,1649,257,000PRN SOLE 9,257,00000
PARATEK PHARMACEUTICALS INCCOM6993743025986SH SOLE 98600
PATRICK INDS INCDBCV 1.000% 2/0703343AB97,3906,525,000PRN SOLE 6,525,00000
PEGASYSTEMS INCNOTE 0.750% 3/0705573AB914,11712,500,000PRN SOLE 12,500,00000
PETIQ INCNOTE 4.000% 6/071639TAB28,3217,000,000PRN SOLE 7,000,00000
PLUG POWER INCCOM NEW72919P2022,587101,300SH SOLE 101,30000
PROPERTY SOLUTIONS ACQUISITICOM CL A74350A1089710,000SH SOLE 10,00000
PURE STORAGE INCNOTE 0.125% 4/174624MAB816,46514,217,000PRN SOLE 14,217,00000
RADIUS HEALTH INCNOTE 3.000% 9/0750469AA68,1799,000,000PRN SOLE 9,000,00000
RUMBLEON INCCOM CL B78138630513,186338,283SH SOLE 338,28300
SAILPOINT TECHNOLOGIES HLDGSNOTE 0.125% 9/178781PAB120,07812,500,000PRN SOLE 12,500,00000
Scorpio Tankers Inc (Exchange)Note 3.0000% 15-May-202580918TAD120,43520,359,000PRN SOLE 20,359,00000
SENIOR CONNECT ACQUISITN CORCOM CL A81723H10824425,000SH SOLE 25,00000
SERVICESOURCE INTL INCCOM81763U1001,7271,279,182SH SOLE 1,279,18200
SILICON LABORATORIES INCNOTE 0.625% 6/1826919AD49,6617,500,000PRN SOLE 7,500,00000
SPORTSTEK ACQUISITION CORPCOM CL A8491961009810,000SH SOLE 10,00000
Spotify Technology SA/Spotify USA IncNote 0.0000% 15-Mar-202684921RAA86,7737,500,000PRN SOLE 7,500,00000
TELIGENT INC NEWCOM NEW87960W203359899,000SH SOLE 899,00000
THUNDER BRIDGE CAP PRTNRS IICOM CL A88605T1009810,000SH SOLE 10,00000
THUNDER BRIDGE CAP PRTNRS II*W EXP 02/15/20288605T11822,000SH SOLE 2,00000
TRAVERE THERAPEUTICS INCNOTE 2.500% 9/1761299AB23,0083,000,000PRN SOLE 3,000,00000
TWELVE SEAS INVESTMENT CO IICOM CL A90118T1069710,000SH SOLE 10,00000
TWITTER INCNOTE 0.250% 6/190184LAF910,0858,000,000PRN SOLE 8,000,00000
VARONIS SYS INCNOTE 1.250% 8/1922280AB812,3346,000,000PRN SOLE 6,000,00000
WESTERN DIGITAL CORP.NOTE 1.500% 2/0958102AP015,20115,060,000PRN SOLE 15,060,00000
WORKDAY INCNOTE 0.250%10/098138HAF811,9837,000,000PRN SOLE 7,000,00000
ZSCALER INCNOTE 0.125% 7/098980GAB818,25610,000,000PRN SOLE 10,000,00000