We are live on ! Find out more
WAM

Warberg Asset Management Portfolio holdings

AUM $600M
1-Year Est. Return 23.37%
This Fund
S&P 500
This Quarter Est. Return
-1.72%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$455M
AUM Growth
-$194M
Cap. Flow
-$241M
Cap. Flow %
-52.97%
Top 10 Hldgs %
59.59%
Holding
296
New
69
Increased
53
Reduced
33
Closed
45

Top Buys

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$6.55M
2
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$6.29M
3
EXEEL
Expand Energy Corp Class C Warrants
EXEEL
+$6.04M
4
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$2.45M
5
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$2.27M

Top Sells

Rank Stock Value
1
DHR.PRA
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
+$26.2M
2
AVTR.PRA
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
+$13.4M
3
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$1.85M
4
SABRP
Sabre Corporation 6.50% Series A Mandatory Convertible Preferred Stock
SABRP
+$763K
5
RCA
Ready Capital Corporation 7.00% Convertible Senior Notes due 2023
RCA
+$743K

Sector Composition

Rank Sector Weight
1 Financials 0.95%
2 Real Estate 0.3%
3 Utilities 0.29%
4 Healthcare 0.2%
5 Technology 0.19%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TLT icon
226
iShares 20+ Year Treasury Bond ETF
TLT
$41.4B
– –
-14,000
Closed -$1.85M
TLT icon
227
PUT
iShares 20+ Year Treasury Bond ETF
TLT
$41.4B
– –
-24,000
Closed -$3.17M
VIVK
228
Vivakor
VIVK
$1.32M
– –
-3
Closed -$22K
DJT icon
229
PUT
Trump Media & Technology Group
DJT
$2.77B
– –
-4,000
Closed -$258K
EVGRU
230
DELISTED
Evergreen Corporation Unit
EVGRU
– –
-20,636
Closed -$207K
CMLS
231
DELISTED
Cumulus Media Inc. Class A Common Stock
CMLS
– –
-36,717
Closed -$365K
ALTU
232
DELISTED
Altitude Acquisition Corp
ALTU
– –
-16,400
Closed -$163K
IMACW
233
DELISTED
IMAC Holdings, Inc. Warrant
IMACW
– –
-66,215
Closed -$17K
TBLT
234
DELISTED
ToughBuilt Industries, Inc. Common Stock
TBLT
– –
-2
Closed -$4K
SABRP
235
DELISTED
Sabre Corporation 6.50% Series A Mandatory Convertible Preferred Stock
SABRP
– –
-5,072
Closed -$763K
FGMCU
236
DELISTED
FG Merger Corp. Unit
FGMCU
– –
-24,879
Closed -$250K
RCA
237
DELISTED
Ready Capital Corporation 7.00% Convertible Senior Notes due 2023
RCA
– –
-28,312
Closed -$743K
GENQU
238
DELISTED
Genesis Unicorn Capital Corp. Unit
GENQU
– –
-18,744
Closed -$188K
KRBP
239
DELISTED
Kiromic BioPharma, Inc. Common Stock
KRBP
– –
-2,462
Closed -$63K
GACQ
240
DELISTED
Global Consumer Acquisition Corp. Common Stock
GACQ
– –
-17,100
Closed -$171K
AVGOP
241
DELISTED
Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A
AVGOP
– –
-122
Closed -$240K
CRXTW
242
DELISTED
Clarus Therapeutics Holdings, Inc. Warrants
CRXTW
– –
-65,000
Closed -$10K
RENO
243
DELISTED
Renovare Environmental, Inc. Common Stock
RENO
– –
-250,000
Closed -$137K
SRGA
244
DELISTED
Surgalign Holdings, Inc. Common Stock
SRGA
– –
-1,667
Closed -$15K
BOWL.WS
245
DELISTED
Bowlero Corp. Warrants, each whole warrant exercisable for one share of Class A Common Stock at an e
BOWL.WS
– –
-149,217
Closed -$418K
AVTR.PRA
246
DELISTED
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
– –
-129,739
Closed -$13.4M
BRCC.WS
247
DELISTED
BRC Inc. Redeemable Warrants, each whole warrant exercisable for one share of Class A common stock a
BRCC.WS
– –
-43,883
Closed -$196K
ATSPT
248
DELISTED
Archimedes Tech SPAC Partners Co. Subunit
ATSPT
– –
-11,000
Closed -$109K
DHR.PRA
249
DELISTED
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
– –
-13,403
Closed -$26.2M
6 7 8 9
10

Similar funds

GP
GSK plc London $599M AUM
BHPW
Beverly Hills Private Wealth Beverly Hills, California $600M AUM 21.5% 1-Year Est. Return
CCP
Clifford Capital Partners Alpine, Utah $600M AUM 19.57% 1-Year Est. Return
SCM
Stanley Capital Management Houston, Texas $598M AUM 33.22% 1-Year Est. Return
OCAM
Onex Canada Asset Management Toronto, Ontario, Canada $601M AUM 15.16% 1-Year Est. Return
NPCM
North Peak Capital Management New York $601M AUM 0.2% 1-Year Est. Return
FSG
Financial Strategies Group Okemos, Michigan $598M AUM 12.52% 1-Year Est. Return
CIG
Capricorn Investment Group Palo Alto, California $602M AUM 165.22% 1-Year Est. Return

Warberg Asset Management's Q2 2022 Portfolio in Review

As of Q2 2022, Warberg Asset Management held 296 positions worth $455M, down 30% from $649M the previous quarter. Its ten largest holdings account for 60% of the portfolio.

Warberg Asset Management withdrew a net $241M in Q2 2022, closing 45 positions and reducing 33 holdings. Its most notable exit was Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A, an estimated $26.2M position sold in full.

By sector, the portfolio is most concentrated in Financials at 0.95% of assets, up from 0.47% a quarter earlier, followed by Real Estate and Utilities.

Against the trend, Warberg Asset Management opened a new position in State Street SPDR S&P 500 ETF Trust worth $6.04M.

  • Warberg Asset Management's largest Q2 2022 buy was State Street SPDR S&P 500 ETF Trust: 16,000 shares worth $6.04M.
  • Warberg Asset Management added most to Occidental Petroleum Corp Warrants in Q2 2022, an estimated $6.29M increase.
  • Warberg Asset Management's biggest Q2 2022 reduction was The Southern Company, cutting an estimated $555K.
  • Warberg Asset Management fully exited Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A in Q2 2022, selling an estimated $26.2M.
  • Warberg Asset Management's ten largest holdings make up 60% of its $455M portfolio in Q2 2022.
  • Warberg Asset Management opened 69 new positions and closed 45 in Q2 2022.
  • Warberg Asset Management's portfolio value fell 30% quarter-over-quarter to $455M.

Based on Warberg Asset Management's 13F filing for Q2 2022, filed 11 Aug 2022.