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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
+7.08%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$578M
AUM Growth
+$123M
Cap. Flow
-$32M
Cap. Flow %
-5.54%
Top 10 Hldgs %
63.86%
Holding
346
New
101
Increased
44
Reduced
42
Closed
52

Top Buys

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$8.6M
2
HTZWW
Hertz Global Holdings Warrants
HTZWW
+$4.23M
3
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$3.22M
4
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$2.96M
5
AAPL icon
Apple
AAPL
+$2.51M

Top Sells

Rank Stock Value
1
SWT
Stanley Black & Decker, Inc.
SWT
+$1.11M
2
PSTH
Pershing Square Tontine Holdings, Ltd.
PSTH
+$782K
3
SO icon
Southern Company
SO
+$713K
4
SOLN
The Southern Company
SOLN
+$604K
5
SJIV
South Jersey Industries, Inc. Corporate Units
SJIV
+$551K

Sector Composition

Rank Sector Weight
1 Financials 1.47%
2 Technology 0.65%
3 Consumer Discretionary 0.24%
4 Real Estate 0.22%
5 Healthcare 0.17%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GETY.WS
251
DELISTED
Getty Images Holdings, Inc. Warrants, each exercisable for one share of Class A Common Stock at an exercise price of $11.50 per share
GETY.WS
$1K ﹤0.01%
+29,137
New +$22.8K
AFARW
252
DELISTED
Aura FAT Projects Acquisition Corp Warrant
AFARW
$1K ﹤0.01%
11,392
-13,608
-54% -$1.04K
ADTX
253
DELISTED
ADITXT INC
ADTX
– –
0
– -$6K
BFRIW icon
254
Biofrontera
BFRIW
$41.6K
– –
-13,451
Closed -$10K
STEX
255
Streamex Corp
STEX
$75.3M
– –
-6,500
Closed -$43K
CTLP
256
CALL
DELISTED
Cantaloupe
CTLP
– –
-83,800
Closed -$469K
FGNX
257
FG Nexus Inc
FGNX
$40.2M
– –
-758
Closed -$138K
GME icon
258
PUT
GameStop
GME
$8.63B
– –
-20,000
Closed -$612K
LIXTW
259
DELISTED
Lixte Biotechnology Warrants
LIXTW
– –
-12,000
Closed -$2K
MOBX icon
260
Mobix Labs
MOBX
$26M
– –
-1,000
Closed -$100K
NFLX icon
261
CALL
Netflix
NFLX
$307B
– –
-30,000
Closed -$525K
NLSPW
262
DELISTED
NLS Pharmaceutics Warrant
NLSPW
– –
-12,881
Closed -$2K
NN icon
263
NextNav
NN
$2.05B
– –
-25,000
Closed -$57K
PL.WS
264
DELISTED
Planet Labs PBC Warrants
PL.WS
– –
-10,000
Closed -$9K
PSHG icon
265
Performance Shipping
PSHG
$21.5M
– –
-3,000
Closed -$25K
PTC icon
266
PUT
PTC
PTC
$16B
– –
-6,200
Closed -$659K
QQQ icon
267
CALL
Invesco QQQ Trust
QQQ
$479B
– –
-15,000
Closed -$4.2M
SLNO
268
DELISTED
Soleno Therapeutics
SLNO
– –
-6,000
Closed -$16K
SO icon
269
Southern Company
SO
$107B
– –
-10,000
Closed -$713K
SO icon
270
PUT
Southern Company
SO
$107B
– –
-10,000
Closed -$713K
SVRE
271
SaverOne 2014 Ltd
SVRE
$6.42M
– –
-3
Closed -$53K
UNG icon
272
United States Natural Gas Fund
UNG
$450M
– –
-2,500
Closed -$274K
TONX
273
TON Strategy Co
TONX
$161M
– –
-2
Closed -$8K
VXX icon
274
CALL
iPath Series B S&P 500 VIX Short-Term Futures ETN
VXX
$146M
– –
-625
Closed -$231K
XLB icon
275
CALL
State Street Materials Select Sector SPDR ETF
XLB
$8.55B
– –
-9,000
Closed -$322K
9 10
11
12 13

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Warberg Asset Management's Q3 2022 Portfolio in Review

As of Q3 2022, Warberg Asset Management held 346 positions worth $578M, up 27% from $455M the previous quarter. Its ten largest holdings account for 64% of the portfolio.

Warberg Asset Management withdrew a net $32M in Q3 2022, closing 52 positions and reducing 42 holdings. Its most notable exit was Stanley Black & Decker, Inc., an estimated $1.11M position sold in full.

By sector, the portfolio is most concentrated in Financials at 1.5% of assets, up from 0.95% a quarter earlier, followed by Technology and Consumer Discretionary.

Against the trend, Warberg Asset Management opened a new position in Apple worth $2.21M.

  • Warberg Asset Management's largest Q3 2022 buy was Apple: 16,000 shares worth $2.21M.
  • Warberg Asset Management added most to Invesco QQQ Trust in Q3 2022, an estimated $8.6M increase.
  • Warberg Asset Management's biggest Q3 2022 reduction was South Jersey Industries, Inc. Corporate Units, cutting an estimated $551K.
  • Warberg Asset Management fully exited Stanley Black & Decker, Inc. in Q3 2022, selling an estimated $1.11M.
  • Warberg Asset Management's ten largest holdings make up 64% of its $578M portfolio in Q3 2022.
  • Warberg Asset Management opened 101 new positions and closed 52 in Q3 2022.
  • Warberg Asset Management's portfolio value rose 27% quarter-over-quarter to $578M.

Based on Warberg Asset Management's 13F filing for Q3 2022, filed 7 Nov 2022.