WAM

Warberg Asset Management Portfolio holdings

AUM $343M
1-Year Est. Return 23.37%
This Fund
S&P 500
This Quarter Est. Return
1 Year Est. Return
+23.37%
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
+$9.41M
2
+$1.65M
3
+$724K
4
ELAT
Elanco Animal Health Incorporated 5.00% Tangible Equity Units
ELAT
+$712K
5
PXSAP
Pyxis Tankers Inc. 7.75% Series A Cumulative Convertible Preferred Shares
PXSAP
+$691K

Top Sells

1
+$34.5M
2
+$24.2M
3
+$18.5M
4
QQQ icon
Invesco QQQ Trust
QQQ
+$8.3M
5
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$8.07M

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
– –
-2,416
227
– –
-500
228
– –
0
229
– –
-12,366
230
– –
-20,000
231
– –
0
232
– –
-16,077
233
– –
0
234
– –
0
235
– –
-35,000
236
– –
-41,519
237
– –
0
238
– –
0
239
– –
0
240
– –
0
241
– –
0
242
– –
-21,000
243
– –
-22,000
244
– –
0
245
– –
0
246
– –
-34
247
– –
-81
248
– –
-6
249
– –
0
250
– –
-241,808
8 9
10
11 12