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WAM

Warberg Asset Management Portfolio holdings

AUM $600M
1-Year Est. Return 23.37%
This Fund
S&P 500
This Quarter Est. Return
+7.08%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$578M
AUM Growth
+$123M
Cap. Flow
-$32M
Cap. Flow %
-5.54%
Top 10 Hldgs %
63.86%
Holding
346
New
101
Increased
44
Reduced
42
Closed
52

Top Buys

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$8.6M
2
HTZWW
Hertz Global Holdings Warrants
HTZWW
+$4.23M
3
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$3.22M
4
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$2.96M
5
AAPL icon
Apple
AAPL
+$2.51M

Top Sells

Rank Stock Value
1
SWT
Stanley Black & Decker, Inc.
SWT
+$1.11M
2
PSTH
Pershing Square Tontine Holdings, Ltd.
PSTH
+$782K
3
SO icon
Southern Company
SO
+$713K
4
SOLN
The Southern Company
SOLN
+$604K
5
SJIV
South Jersey Industries, Inc. Corporate Units
SJIV
+$551K

Sector Composition

Rank Sector Weight
1 Financials 1.47%
2 Technology 0.65%
3 Consumer Discretionary 0.24%
4 Real Estate 0.22%
5 Healthcare 0.17%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
AGRX
226
DELISTED
Agile Therapeutics
AGRX
$5K ﹤0.01%
+350
New +$8.61K
AFRIW icon
227
Forafric Global PLC Warrants
AFRIW
$11.4M
$4K ﹤0.01%
+10,500
New +$3.68K
BNIXW
228
DELISTED
Bannix Acquisition Corp. Warrant
BNIXW
$4K ﹤0.01%
85,700
– –
KACLW
229
DELISTED
Kairous Acquisition Corp. Limited Warrants
KACLW
$4K ﹤0.01%
86,667
– –
NVACW
230
DELISTED
NorthView Acquisition Corporation Warrant
NVACW
$4K ﹤0.01%
77,770
– –
ENERW
231
DELISTED
Accretion Acquisition Corp Warrant
ENERW
$4K ﹤0.01%
87,348
– –
TCBP
232
DELISTED
TC BioPharm (Holdings) plc American Depositary Shares
TCBP
– –
-1
Closed -$56.4K
FXCOW
233
DELISTED
Financial Strategies Acquisition Corp. Warrants
FXCOW
$4K ﹤0.01%
80,000
– –
GLS.WS
234
DELISTED
Gelesis Holdings, Inc. Warrants, each whole warrant exercisable for one share of Common Stock at an exercise price of $11.50
GLS.WS
$4K ﹤0.01%
89,400
– –
FATPW
235
DELISTED
Fat Projects Acquisition Corp Warrant
FATPW
$4K ﹤0.01%
85,000
– –
NXGLW icon
236
NexGel Inc Warrant
NXGLW
$3K ﹤0.01%
10,000
-1,000
-9% -$304
ALSAW
237
DELISTED
Alpha Star Acquisition Corp Warrants
ALSAW
$3K ﹤0.01%
80,000
– –
SHAP.WS
238
DELISTED
Spree Acquisition Corp. 1 Limited Redeemable warrants, each warrant exercisable for one Class A ordinary share at an exercise price of $11.50
SHAP.WS
$3K ﹤0.01%
47,154
– –
SPIR.WS
239
DELISTED
Spire Global, Inc. Warrants, each whole warrant exercisable for one share of Class A Common Stock at an exercise price of $11.50 per whole share
SPIR.WS
$3K ﹤0.01%
28,867
– –
GROMW
240
DELISTED
Grom Social Enterprises Inc. Warrants
GROMW
$2K ﹤0.01%
834
-50
-6% -$171
CNGLW
241
DELISTED
Canna-Global Acquisition Corp Warrant
CNGLW
$2K ﹤0.01%
90,100
– –
CLVRW
242
DELISTED
Clever Leaves Holdings Inc. Warrant
CLVRW
$2K ﹤0.01%
25,000
– –
SQLLW
243
DELISTED
SeqLL Inc. Warrant
SQLLW
$2K ﹤0.01%
22,795
– –
FGMCW
244
DELISTED
FG Merger Corp. Warrant
FGMCW
$2K ﹤0.01%
16,546
-5
-0% -$1
ACACW
245
DELISTED
Acri Capital Acquisition Corp Warrant
ACACW
$1K ﹤0.01%
+15,261
New +$1.08K
SHPWW
246
DELISTED
Shapeways Holdings, Inc. Warrants
SHPWW
$1K ﹤0.01%
14,668
– –
CSSEL
247
DELISTED
Chicken Soup for the Soul Entertainment, Inc. Warrant
CSSEL
$1K ﹤0.01%
+19,016
New +$1.92K
FLFVW
248
DELISTED
Feutune Light Acquisition Corporation Warrant
FLFVW
$1K ﹤0.01%
+21,596
New +$1.08K
PNACW
249
DELISTED
Prime Number Acquisition I Corp. Warrant
PNACW
$1K ﹤0.01%
+13,658
New +$841
DBGI
250
Digital Brands Group
DBGI
$8.43M
– –
0
– –
8 9
10
11 12

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Warberg Asset Management's Q3 2022 Portfolio in Review

As of Q3 2022, Warberg Asset Management held 346 positions worth $578M, up 27% from $455M the previous quarter. Its ten largest holdings account for 64% of the portfolio.

Warberg Asset Management withdrew a net $32M in Q3 2022, closing 52 positions and reducing 42 holdings. Its most notable exit was Stanley Black & Decker, Inc., an estimated $1.11M position sold in full.

By sector, the portfolio is most concentrated in Financials at 1.5% of assets, up from 0.95% a quarter earlier, followed by Technology and Consumer Discretionary.

Against the trend, Warberg Asset Management opened a new position in Apple worth $2.21M.

  • Warberg Asset Management's largest Q3 2022 buy was Apple: 16,000 shares worth $2.21M.
  • Warberg Asset Management added most to Invesco QQQ Trust in Q3 2022, an estimated $8.6M increase.
  • Warberg Asset Management's biggest Q3 2022 reduction was South Jersey Industries, Inc. Corporate Units, cutting an estimated $551K.
  • Warberg Asset Management fully exited Stanley Black & Decker, Inc. in Q3 2022, selling an estimated $1.11M.
  • Warberg Asset Management's ten largest holdings make up 64% of its $578M portfolio in Q3 2022.
  • Warberg Asset Management opened 101 new positions and closed 52 in Q3 2022.
  • Warberg Asset Management's portfolio value rose 27% quarter-over-quarter to $578M.

Based on Warberg Asset Management's 13F filing for Q3 2022, filed 7 Nov 2022.