WAM

Warberg Asset Management Portfolio holdings

AUM $357M
1-Year Est. Return 16.73%
This Quarter Est. Return
1 Year Est. Return
+16.73%
3 Year Est. Return
5 Year Est. Return
10 Year Est. Return
AUM
$327M
AUM Growth
-$38.7M
Cap. Flow
Cap. Flow %
Top 10 Hldgs %
Holding
352
New
Increased
Reduced
Closed

Top Buys

1
+$9.47M
2
+$1.62M
3
+$722K
4
ELAT
Elanco Animal Health Incorporated 5.00% Tangible Equity Units
ELAT
+$692K
5
HTZWW
Hertz Global Holdings Warrants
HTZWW
+$612K

Top Sells

1
+$33.1M
2
+$23.1M
3
+$18.5M
4
QQQ icon
Invesco QQQ Trust
QQQ
+$7.99M
5
SPY icon
SPDR S&P 500 ETF Trust
SPY
+$7.5M

Sector Composition

1 Financials 2.33%
2 Technology 0.77%
3 Real Estate 0.55%
4 Healthcare 0.44%
5 Industrials 0.32%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
226
– –
-41,519
227
– –
0
228
– –
0
229
– –
0
230
– –
0
231
– –
0
232
– –
0
233
– –
-19,000
234
– –
0
235
– –
-34
236
– –
-808
237
– –
-41
238
– –
-1
239
– –
-241,808
240
– –
-21,000
241
– –
-1,250
242
– –
-38,000
243
– –
-1,500
244
– –
-17,456
245
– –
-219,926
246
– –
-27,157
247
– –
0
248
– –
-15,044
249
– –
-10,000
250
– –
0
8 9
10
11 12