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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
+1.52%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$638M
AUM Growth
+$60.1M
Cap. Flow
-$164M
Cap. Flow %
-25.73%
Top 10 Hldgs %
75.41%
Holding
356
New
64
Increased
35
Reduced
46
Closed
83

Top Buys

Rank Stock Value
1
SJIV
South Jersey Industries, Inc. Corporate Units
SJIV
+$9.41M
2
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$1.65M
3
HTZWW
Hertz Global Holdings Warrants
HTZWW
+$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

Rank Stock Value
1
EXEEW
Expand Energy Corp Class A Warrants
EXEEW
+$34.5M
2
EXEEL
Expand Energy Corp Class C Warrants
EXEEL
+$24.2M
3
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$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

Rank Sector Weight
1 Financials 1.2%
2 Technology 0.39%
3 Real Estate 0.28%
4 Healthcare 0.22%
5 Industrials 0.17%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BRSHW
226
DELISTED
Bruush Oral Care Inc. Warrant
BRSHW
$876 ﹤0.01%
15,000
– –
CLVRW
227
DELISTED
Clever Leaves Holdings Inc. Warrant
CLVRW
$873 ﹤0.01%
25,000
– –
GLS.WS
228
DELISTED
Gelesis Holdings, Inc. Warrants, each whole warrant exercisable for one share of Common Stock at an exercise price of $11.50
GLS.WS
$796 ﹤0.01%
89,400
– –
FLFVW
229
DELISTED
Feutune Light Acquisition Corporation Warrant
FLFVW
$624 ﹤0.01%
20,796
-800
-4% -$25
EMCGW
230
DELISTED
Embrace Change Acquisition Corp Warrants
EMCGW
$406 ﹤0.01%
+12,500
New +$475
SHPWW
231
DELISTED
Shapeways Holdings, Inc. Warrants
SHPWW
$248 ﹤0.01%
14,668
– –
ECDAW
232
DELISTED
ECD Automotive Design Warrant
ECDAW
$160 ﹤0.01%
+10,000
New +$231
AEM icon
233
CALL
Agnico Eagle Mines
AEM
$83.8B
– –
-9,000
Closed -$380K
APCX
234
DELISTED
AppTech Payments
APCX
– –
-16,954
Closed -$12K
ARKK icon
235
ARK Innovation ETF
ARKK
$6.05B
– –
-5,500
Closed -$207K
ARKK icon
236
PUT
ARK Innovation ETF
ARKK
$6.05B
– –
-10,000
Closed -$377K
ASRT
237
DELISTED
Assertio
ASRT
– –
-1,267
Closed -$43K
AYTU icon
238
AYTU BioPharma
AYTU
$24.7M
– –
-3,250
Closed -$12K
BSJP
239
DELISTED
Invesco BulletShares 2025 High Yield Corporate Bond ETF
BSJP
– –
-87,215
Closed -$1.9M
CVNA icon
240
Carvana
CVNA
$76.4B
– –
-50,000
Closed -$203K
CVNA icon
241
PUT
Carvana
CVNA
$76.4B
– –
-50,000
Closed -$203K
DKNG icon
242
PUT
DraftKings
DKNG
$10.8B
– –
-12,000
Closed -$182K
EDBL
243
Edible Garden
EDBL
$1.27M
– –
0
– -$13K
HOOD icon
244
PUT
Robinhood
HOOD
$83.4B
– –
-30,000
Closed -$303K
IKT icon
245
Inhibikase Therapeutics
IKT
$377M
– –
-2,416
Closed -$13K
INAB icon
246
IN8bio
INAB
$9.74M
– –
-500
Closed -$30K
INTC icon
247
CALL
Intel
INTC
$510B
– –
-25,000
Closed -$644K
JNK icon
248
State Street SPDR Bloomberg High Yield Bond ETF
JNK
$6.91B
– –
-12,366
Closed -$1.09M
LASE icon
249
Laser Photonics
LASE
$55.2M
– –
-20,000
Closed -$53K
MDAI icon
250
Spectral AI
MDAI
$51.9M
– –
-16,077
Closed -$158K
8 9
10
11 12

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CCP
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SCM
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OCAM
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NPCM
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FSG
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CIG
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Warberg Asset Management's Q4 2022 Portfolio in Review

As of Q4 2022, Warberg Asset Management held 356 positions worth $638M, up 10% from $578M the previous quarter. Its ten largest holdings account for 75% of the portfolio.

Warberg Asset Management withdrew a net $164M in Q4 2022, closing 83 positions and reducing 46 holdings. Its most notable exit was Expand Energy Corp Class B Warrants, an estimated $18.5M position sold in full.

By sector, the portfolio is most concentrated in Financials at 1.2% of assets, down from 1.5% a quarter earlier, followed by Technology and Real Estate.

Against the trend, Warberg Asset Management opened a new position in Janus Henderson Short Duration Income ETF worth $1.62M.

  • Warberg Asset Management's largest Q4 2022 buy was Janus Henderson Short Duration Income ETF: 34,175 shares worth $1.62M.
  • Warberg Asset Management added most to South Jersey Industries, Inc. Corporate Units in Q4 2022, an estimated $9.41M increase.
  • Warberg Asset Management's biggest Q4 2022 reduction was Expand Energy Corp Class A Warrants, cutting an estimated $34.5M.
  • Warberg Asset Management fully exited Expand Energy Corp Class B Warrants in Q4 2022, selling an estimated $18.5M.
  • Warberg Asset Management's ten largest holdings make up 75% of its $638M portfolio in Q4 2022.
  • Warberg Asset Management opened 64 new positions and closed 83 in Q4 2022.
  • Warberg Asset Management's portfolio value rose 10% quarter-over-quarter to $638M.

Based on Warberg Asset Management's 13F filing for Q4 2022, filed 13 Feb 2023.