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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
HCMA
251
DELISTED
HCM Acquisition Corp Class A Ordinary Shares
HCMA
– –
-22,000
Closed -$230K
VRPX
252
DELISTED
Virpax Pharmaceuticals, Inc. Common Stock
VRPX
– –
-68
Closed -$13.4K
SHAP
253
DELISTED
Spree Acquisition Corp. 1 Limited
SHAP
– –
-23,494
Closed -$245K
SIEN
254
DELISTED
Sientra, Inc.
SIEN
– –
-10,000
Closed -$15.4K
PTHRU
255
DELISTED
Pono Capital Three, Inc. Unit
PTHRU
– –
-25,300
Closed -$260K
KVSA
256
DELISTED
Khosla Ventures Acquisition Co. Class A Common Stock
KVSA
– –
-10,000
Closed -$101K
MTRY
257
DELISTED
Monterey Innovation Acquisition Corp. Common Stock
MTRY
– –
-49,894
Closed -$533K
KLR.WS
258
DELISTED
Kaleyra, Inc. Warrants, each whole Warrant exercisable for one share of Common Stock at an exercise price of $40.25 per share
KLR.WS
– –
-83,899
Closed -$10.6K
FXCOW
259
DELISTED
Financial Strategies Acquisition Corp. Warrants
FXCOW
– –
-93,000
Closed -$3.25K
FXCO
260
DELISTED
Financial Strategies Acquisition Corp. Class A Common Stock
FXCO
– –
-29,000
Closed -$306K
FRBK
261
DELISTED
Republic First Bancorp Inc
FRBK
– –
-15,000
Closed -$20.4K
TDW.WS.A
262
DELISTED
Tidewater Inc. Series A Warrants to purchase shares of common stock (expiring July 31, 2023)
TDW.WS.A
– –
-37,100
Closed -$44.9K
HCNE
263
DELISTED
Jaws Hurricane Acquisition Corp. Class A Common Stock
HCNE
– –
-19,821
Closed -$202K
MLAC
264
DELISTED
Malacca Straits Acquisition Company Limited Class A Ordinary Shares
MLAC
– –
-20,862
Closed -$221K
APTV.PRA
265
DELISTED
Aptiv PLC 5.50% Series A Mandatory Convertible Preferred Shares
APTV.PRA
– –
-9,127
Closed -$1.11M
AVAC
266
DELISTED
Avalon Acquisition Inc. Class A Common Stock
AVAC
– –
-12,874
Closed -$134K
APTO
267
DELISTED
Aptose Biosciences, Inc.
APTO
– –
-26
Closed -$7.36K
LABP
268
DELISTED
Landos Biopharma, Inc. Common Stock
LABP
– –
-7,350
Closed -$21.9K
SI
269
PUT
DELISTED
Silvergate Capital Corporation
SI
– –
-11,500
Closed -$18.6K
PGRW
270
DELISTED
Progress Acquisition Corp. Class A Common Stock
PGRW
– –
-23,570
Closed -$249K
FRC
271
CALL
DELISTED
First Republic Bank
FRC
– –
-10,000
Closed -$140K
FRC
272
PUT
DELISTED
First Republic Bank
FRC
– –
-65,700
Closed -$919K
CIIG
273
DELISTED
CIIG Capital Partners II, Inc. Class A Common Stock
CIIG
– –
-20,000
Closed -$208K
BMAQ
274
DELISTED
Blockchain Moon Acquisition Corp. Common Stock
BMAQ
– –
-27,379
Closed -$290K
PBLA
275
DELISTED
Panbela Therapeutics, Inc. Common Stock
PBLA
– –
-33
Closed -$8.8K
8 9 10
11
12

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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 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.