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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
+0.3%
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
VRIG icon
251
Invesco Variable Rate Investment Grade ETF
VRIG
$1.83B
– –
-11,998
Closed -$296K
WINT
252
DELISTED
Windtree Therapeutics
WINT
– –
-1
Closed -$4.26K
XLB icon
253
PUT
State Street Materials Select Sector SPDR ETF
XLB
$8.55B
– –
-10,000
Closed -$437K
XOM icon
254
CALL
ExxonMobil
XOM
$642B
– –
-17,000
Closed -$1.88M
ZURA icon
255
Zura Bio
ZURA
$542M
– –
-10,000
Closed -$102K
OCEA
256
DELISTED
Ocean Biomedical, Inc. Common Stock
OCEA
– –
-33,809
Closed -$352K
TCBPW
257
DELISTED
TC BioPharm (Holdings) plc Warrants
TCBPW
– –
-86,667
Closed -$10.9K
BNIX
258
DELISTED
Bannix Acquisition Corp. Common Stock
BNIX
– –
-22,500
Closed -$229K
EVGR
259
DELISTED
Evergreen Corporation Class A Ordinary Share
EVGR
– –
-20,636
Closed -$212K
QTI
260
QT Imaging Holdings
QTI
$37.3M
– –
-14,401
Closed -$147K
MITA
261
DELISTED
Coliseum Acquisition Corp. Class A Ordinary Share
MITA
– –
-15,000
Closed -$151K
BSJO
262
DELISTED
Invesco BulletShares 2024 High Yield Corporate Bond ETF
BSJO
– –
-39,950
Closed -$884K
NBST
263
DELISTED
Newbury Street Acquisition Corporation Common Stock
NBST
– –
-20,730
Closed -$208K
WKSPW
264
DELISTED
Worksport, Ltd. Warrant
WKSPW
– –
-14,960
Closed -$2.09K
PLTNU
265
DELISTED
Plutonian Acquisition Corp. Unit
PLTNU
– –
-15,800
Closed -$159K
AWH
266
DELISTED
Aspira Women's Health Inc. Common Stock
AWH
– –
-1,000
Closed -$5.1K
AWIN
267
DELISTED
AERWINS Technologies Inc
AWIN
– –
-319
Closed -$335K
PEPL
268
DELISTED
PepperLime Health Acquisition Corporation Class A Ordinary Share
PEPL
– –
-14,136
Closed -$144K
GMBL
269
DELISTED
Esports Entertainment Group Inc. Common Stock
GMBL
– –
-3
Closed -$10.7K
NRAC
270
DELISTED
Northern Revival Acquisition Corporation Class A Ordinary Share
NRAC
– –
-21,324
Closed -$215K
NVTA
271
CALL
DELISTED
Invitae Corporation
NVTA
– –
-10,000
Closed -$18.6K
GSD
272
DELISTED
Global Systems Dynamics Inc. Class A Common Stock
GSD
– –
-10,922
Closed -$113K
EFHTR
273
DELISTED
EF Hutton Acquisition Corporation I Rights
EFHTR
– –
-13,246
Closed -$1.66K
PNACW
274
DELISTED
Prime Number Acquisition I Corp. Warrant
PNACW
– –
-13,658
Closed -$888
GENQ
275
DELISTED
Genesis Unicorn Capital Corp. Class A Common Stock
GENQ
– –
-17,043
Closed -$174K
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 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.