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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
ONFO icon
251
Onfolio Holdings
ONFO
$370K
– –
-35,000
Closed -$41K
PAAS icon
252
CALL
Pan American Silver
PAAS
$20.2B
– –
-15,200
Closed -$241K
EZRAW
253
DELISTED
Reliance Global Series A Warrants
EZRAW
– –
-41,519
Closed -$11K
SPY icon
254
State Street SPDR S&P 500 ETF Trust
SPY
$817B
– –
-21,000
Closed -$8.07M
TLSA icon
255
Tiziana Life Sciences
TLSA
$131M
– –
-22,000
Closed -$17K
TLT icon
256
CALL
iShares 20+ Year Treasury Bond ETF
TLT
$41.5B
– –
-20,000
Closed -$2.05M
TLT icon
257
PUT
iShares 20+ Year Treasury Bond ETF
TLT
$41.5B
– –
-20,000
Closed -$2.05M
TSLA icon
258
PUT
Tesla
TSLA
$1.26T
– –
-15,000
Closed -$3.98M
VRMEW
259
DELISTED
VerifyMe, Inc. Warrant
VRMEW
– –
-38,642
Closed -$10K
XLE icon
260
State Street Energy Select Sector SPDR ETF
XLE
$38.1B
– –
-38,000
Closed -$1.37M
XLE icon
261
PUT
State Street Energy Select Sector SPDR ETF
XLE
$38.1B
– –
-50,000
Closed -$1.8M
ZVSA
262
DELISTED
ZyVersa Therapeutics
ZVSA
– –
-34
Closed -$120K
TRUG icon
263
TruGolf
TRUG
$941K
– –
-81
Closed -$407K
NXTS
264
Nexentis Technologies
NXTS
$2.83M
– –
-6
Closed -$19K
YYAI icon
265
AiRWA Inc
YYAI
$89.4K
– –
0
– -$7K
EXEEZ
266
DELISTED
Expand Energy Corp Class B Warrants
EXEEZ
– –
-241,808
Closed -$18.5M
IRD
267
Opus Genetics
IRD
$300M
– –
-21,000
Closed -$42K
NXXT
268
NextNRG Inc
NXXT
$44.3M
– –
-1,250
Closed -$15K
PAVMZ
269
DELISTED
PAVmed Inc. Series Z Warrant
PAVMZ
– –
-38,000
Closed -$17K
BACK
270
DELISTED
IMAC Holdings, Inc. Common Stock
BACK
– –
-1,500
Closed -$17K
GLSTU
271
DELISTED
Global Star Acquisition, Inc. Unit
GLSTU
– –
-17,456
Closed -$175K
BMTX.WS
272
DELISTED
BM Technologies, Inc. Warrants, each warrant exercisable for one share of Common Stock at an exercise price of $11.50
BMTX.WS
– –
-219,926
Closed -$158K
VEV
273
DELISTED
Vicinity Motor Corp. Common Stock
VEV
– –
-27,157
Closed -$27K
ACACW
274
DELISTED
Acri Capital Acquisition Corp Warrant
ACACW
– –
-15,261
Closed -$1K
GROMW
275
DELISTED
Grom Social Enterprises Inc. Warrants
GROMW
– –
-834
Closed -$2K
9 10
11
12 13

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SCM
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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.