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
+0.3%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$507M
AUM Growth
-$131M
Cap. Flow
-$367M
Cap. Flow %
-72.27%
Top 10 Hldgs %
67.23%
Holding
329
New
60
Increased
39
Reduced
52
Closed
80

Top Buys

Rank Stock Value
1
ICSH icon
iShares Ultra Short Duration Bond Active ETF
ICSH
+$1.54M
2
APTV.PRA
Aptiv PLC 5.50% Series A Mandatory Convertible Preferred Shares
APTV.PRA
+$1.12M
3
OAKUU
Oak Woods Acquisition Corp Unit
OAKUU
+$663K
4
MAQC
Maquia Capital Acquisition Corporation Class A Common Stock
MAQC
+$595K
5
FLOT icon
iShares Floating Rate Bond ETF
FLOT
+$534K

Top Sells

Rank Stock Value
1
SJIV
South Jersey Industries, Inc. Corporate Units
SJIV
+$10.7M
2
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$4.92M
3
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$3.75M
4
QQQ icon
Invesco QQQ Trust
QQQ
+$1.62M
5
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$1.62M

Sector Composition

Rank Sector Weight
1 Financials 1.37%
2 Technology 0.4%
3 Industrials 0.23%
4 Consumer Discretionary 0.22%
5 Real Estate 0.18%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
HYMCW
226
DELISTED
Hycroft Mining Holding Corporation Warrant
HYMCW
– –
-250,000
Closed -$18.7K
IBIO icon
227
iBio
IBIO
$69.1M
– –
-2,500
Closed -$22.2K
JPST icon
228
JPMorgan Ultra-Short Income ETF
JPST
$40.3B
– –
-4,752
Closed -$238K
KPRX icon
229
Kiora Pharmaceuticals
KPRX
$11.3M
– –
-3,667
Closed -$113K
DFSC
230
DEFSEC Technologies
DFSC
$3.28M
– –
-66
Closed -$47.6K
NMAD
231
Nomad Power Solutions
NMAD
$72.8M
– –
-1,450
Closed -$7.36K
LUCYW icon
232
Innovative Eyewear Inc Series A Warrants 8/16/27
LUCYW
$129K
– –
-67,265
Closed -$8.38K
LVO icon
233
LiveOne
LVO
$56.9M
– –
-1,698
Closed -$10.9K
MARA icon
234
CALL
Marathon Digital Holdings
MARA
$4.06B
– –
-32,500
Closed -$111K
MARA icon
235
Marathon Digital Holdings
MARA
$4.06B
– –
-12,000
Closed -$41K
MARA icon
236
PUT
Marathon Digital Holdings
MARA
$4.06B
– –
-15,900
Closed -$54.4K
MINT icon
237
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
MINT
$17B
– –
-3,100
Closed -$306K
NNAVW
238
DELISTED
NextNav Inc Warrant
NNAVW
– –
-10,000
Closed -$3.73K
PALI icon
239
Palisade Bio
PALI
$363M
– –
-1,754
Closed -$137K
CNSY
240
Cerenome, Inc. Common Stock
CNSY
$26.6M
– –
-27
Closed -$3.17K
PTIX
241
DELISTED
Performance Technologies
PTIX
– –
-357
Closed -$8K
QQQ icon
242
Invesco QQQ Trust
QQQ
$479B
– –
-5,500
Closed -$1.62M
ROG icon
243
CALL
Rogers Corp
ROG
$2.39B
– –
-8,000
Closed -$955K
SA
244
CALL
Seabridge Gold
SA
$3.12B
– –
-11,000
Closed -$138K
SBUX icon
245
PUT
Starbucks
SBUX
$120B
– –
-10,000
Closed -$992K
SPY icon
246
CALL
State Street SPDR S&P 500 ETF Trust
SPY
$818B
– –
-3,000
Closed -$1.15M
STXS icon
247
Stereotaxis
STXS
$135M
– –
-10,000
Closed -$20.6K
TLT icon
248
iShares 20+ Year Treasury Bond ETF
TLT
$41.6B
– –
-3,000
Closed -$299K
TSLA icon
249
CALL
Tesla
TSLA
$1.26T
– –
-3,600
Closed -$443K
VNLA icon
250
Janus Henderson Short Duration Income ETF
VNLA
$3.35B
– –
-34,175
Closed -$1.62M
8 9
10
11 12

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 Q1 2023 Portfolio in Review

As of Q1 2023, Warberg Asset Management held 329 positions worth $507M, down 21% from $638M the previous quarter. Its ten largest holdings account for 67% of the portfolio.

Warberg Asset Management withdrew a net $367M in Q1 2023, closing 80 positions and reducing 52 holdings. Its most notable exit was South Jersey Industries, Inc. Corporate Units, an estimated $10.7M position sold in full.

By sector, the portfolio is most concentrated in Financials at 1.4% of assets, up from 1.2% a quarter earlier, followed by Technology and Industrials.

Against the trend, Warberg Asset Management opened a new position in iShares Ultra Short Duration Bond Active ETF worth $1.54M.

  • Warberg Asset Management's largest Q1 2023 buy was iShares Ultra Short Duration Bond Active ETF: 30,744 shares worth $1.54M.
  • Warberg Asset Management added most to Expand Energy Corp Class A Warrants in Q1 2023, an estimated $481K increase.
  • Warberg Asset Management's biggest Q1 2023 reduction was Occidental Petroleum Corp Warrants, cutting an estimated $3.75M.
  • Warberg Asset Management fully exited South Jersey Industries, Inc. Corporate Units in Q1 2023, selling an estimated $10.7M.
  • Warberg Asset Management's ten largest holdings make up 67% of its $507M portfolio in Q1 2023.
  • Warberg Asset Management opened 60 new positions and closed 80 in Q1 2023.
  • Warberg Asset Management's portfolio value fell 21% quarter-over-quarter to $507M.

Based on Warberg Asset Management's 13F filing for Q1 2023, filed 15 May 2023.