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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
+0.9%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$603M
AUM Growth
+$95.1M
Cap. Flow
-$108M
Cap. Flow %
-17.85%
Top 10 Hldgs %
72.31%
Holding
314
New
63
Increased
45
Reduced
48
Closed
75

Top Buys

Rank Stock Value
1
HTZWW
Hertz Global Holdings Warrants
HTZWW
+$1.67M
2
EPR.PRC icon
EPR Properties 5.75% Series C Preferred Shares
EPR.PRC
+$751K
3
EXEEL
Expand Energy Corp Class C Warrants
EXEEL
+$733K
4
HUDA
Hudson Acquisition I Corp. Common Stock
HUDA
+$718K
5
NEN icon
New England Realty Associates
NEN
+$675K

Top Sells

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
+$1.11M
3
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$947K
4
PXSAP
Pyxis Tankers Inc. 7.75% Series A Cumulative Convertible Preferred Shares
PXSAP
+$694K
5
OAKUU
Oak Woods Acquisition Corp Unit
OAKUU
+$663K

Sector Composition

Rank Sector Weight
1 Financials 1.39%
2 Technology 0.29%
3 Real Estate 0.27%
4 Industrials 0.17%
5 Energy 0.11%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SABS icon
226
SAB Biotherapeutics
SABS
$290M
– –
-17,766
Closed -$78.2K
FLNA
227
PUT
Filana Therapeutics
FLNA
$49.8M
– –
-14,000
Closed -$338K
SCHW
228
CALL
Charles Schwab
SCHW
$184B
– –
-5,000
Closed -$262K
SOAR icon
229
Volato Group
SOAR
$7.49M
– –
-507
Closed -$132K
SURG icon
230
CALL
SurgePays
SURG
$5.35M
– –
-10,000
Closed -$44.9K
CHAI
231
Core AI Holdings Inc
CHAI
$8.14M
– –
0
– -$6.83K
VBIO
232
Valion Bio
VBIO
$1.31M
– –
-319
Closed -$81.6K
TSLA icon
233
PUT
Tesla
TSLA
$1.27T
– –
-10,000
Closed -$2.07M
XLF icon
234
State Street Financial Select Sector SPDR ETF
XLF
$58B
– –
-8,000
Closed -$257K
XLF icon
235
PUT
State Street Financial Select Sector SPDR ETF
XLF
$58B
– –
-20,000
Closed -$643K
SBC
236
SBC Medical Group
SBC
$324M
– –
-15,750
Closed -$164K
DWTX
237
Dogwood Therapeutics
DWTX
$57.5M
– –
-2,990
Closed -$27.5K
ABP
238
DELISTED
Abpro Holdings
ABP
– –
-389
Closed -$121K
AIEV
239
DELISTED
Thunder Power Holdings, Inc. Common Stock
AIEV
– –
-25,900
Closed -$270K
DECA
240
DELISTED
Denali Capital Acquisition Corp. Class A Ordinary Shares
DECA
– –
-17,500
Closed -$183K
SST.WS
241
DELISTED
System1, Inc. Warrants, each whole warrant exercisable for one share of Class A Common Stock at an exercise price of $11.50 per share
SST.WS
– –
-15,224
Closed -$5.79K
VMCA
242
DELISTED
Valuence Merger Corp. I Class A Ordinary Shares
VMCA
– –
-35,041
Closed -$370K
PNST
243
DELISTED
Pinstripes Holdings, Inc.
PNST
– –
-11,715
Closed -$122K
BRAC
244
DELISTED
Broad Capital Acquisition Corp Common Stock
BRAC
– –
-10,308
Closed -$109K
ALSAW
245
DELISTED
Alpha Star Acquisition Corp Warrants
ALSAW
– –
-80,000
Closed -$1.1K
SMR.WS
246
DELISTED
NuScale Power Corporation Warrants, each exercisable for one share of Class A Common Stock at an exercise price of $11.50 per share
SMR.WS
– –
-22,257
Closed -$36.7K
PXSAP
247
DELISTED
Pyxis Tankers Inc. 7.75% Series A Cumulative Convertible Preferred Shares
PXSAP
– –
-28,627
Closed -$694K
FEXD
248
DELISTED
Fintech Ecosystem Development Corp. Class A Common Stock
FEXD
– –
-18,401
Closed -$194K
MAQC
249
DELISTED
Maquia Capital Acquisition Corporation Class A Common Stock
MAQC
– –
-56,407
Closed -$600K
LSDI
250
DELISTED
Lucy Scientific Discovery Inc. Common Stock
LSDI
– –
-2,730
Closed -$30K
8 9
10
11 12

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Warberg Asset Management's Q2 2023 Portfolio in Review

As of Q2 2023, Warberg Asset Management held 314 positions worth $603M, up 19% from $507M the previous quarter. Its ten largest holdings account for 72% of the portfolio.

Warberg Asset Management withdrew a net $108M in Q2 2023, closing 75 positions and reducing 48 holdings. Its most notable exit was iShares Ultra Short Duration Bond Active ETF, an estimated $1.54M position sold in full.

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

Against the trend, Warberg Asset Management opened a new position in EPR Properties 5.75% Series C Preferred Shares worth $814K.

  • Warberg Asset Management's largest Q2 2023 buy was EPR Properties 5.75% Series C Preferred Shares: 38,600 shares worth $814K.
  • Warberg Asset Management added most to Hertz Global Holdings Warrants in Q2 2023, an estimated $1.67M increase.
  • Warberg Asset Management's biggest Q2 2023 reduction was Occidental Petroleum Corp Warrants, cutting an estimated $947K.
  • Warberg Asset Management fully exited iShares Ultra Short Duration Bond Active ETF in Q2 2023, selling an estimated $1.54M.
  • Warberg Asset Management's ten largest holdings make up 72% of its $603M portfolio in Q2 2023.
  • Warberg Asset Management opened 63 new positions and closed 75 in Q2 2023.
  • Warberg Asset Management's portfolio value rose 19% quarter-over-quarter to $603M.

Based on Warberg Asset Management's 13F filing for Q2 2023, filed 9 Aug 2023.