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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
CSSEL
276
DELISTED
Chicken Soup for the Soul Entertainment, Inc. Warrant
CSSEL
– –
-19,016
Closed -$1K
GMFI
277
DELISTED
Aetherium Acquisition Corp
GMFI
– –
-10,000
Closed -$100K
PMGM
278
DELISTED
Priveterra Acquisition Corp. II Class A Common Stock
PMGM
– –
-14,500
Closed -$145K
CONX
279
DELISTED
CONX Corp. Class A Common Stock
CONX
– –
-15,044
Closed -$150K
MGAM
280
DELISTED
Mobile Global Esports Inc. Common Stock
MGAM
– –
-10,000
Closed -$19K
DSKE
281
CALL
DELISTED
Daseke, Inc. Common Stock
DSKE
– –
-14,000
Closed -$76K
VJET
282
DELISTED
VOXELJET AG American Depositary Shares (each representing one Ordinary Share)
VJET
– –
-29,240
Closed -$94K
WRAC
283
DELISTED
Williams Rowland Acquisition Corp.
WRAC
– –
-11,084
Closed -$112K
GDNR
284
DELISTED
Gardiner Healthcare Acquisitions Corp. Common Stock
GDNR
– –
-27,873
Closed -$278K
TRKAW
285
DELISTED
Troika Media Group, Inc. Warrant
TRKAW
– –
-169,464
Closed -$12K
TCBP
286
DELISTED
TC BioPharm (Holdings) plc American Depositary Shares
TCBP
– –
0
– -$4K
SQLLW
287
DELISTED
SeqLL Inc. Warrant
SQLLW
– –
-22,795
Closed -$2K
KKR.PRC
288
DELISTED
KKR & Co. Inc. 6.00% Series C Mandatory Convertible Preferred Stock
KKR.PRC
– –
-6,010
Closed -$327K
GMVDW
289
DELISTED
G Medical Innovations Holdings Ltd. Warrants
GMVDW
– –
-87,576
Closed -$7K
SMFL
290
DELISTED
Smart for Life, Inc. Common Stock
SMFL
– –
-4
Closed -$5K
SDIG
291
DELISTED
Stronghold Digital Mining, Inc. Class A Common Stock
SDIG
– –
-2,500
Closed -$26K
BBBY
292
DELISTED
Bed Bath & Beyond Inc
BBBY
– –
-12,000
Closed -$73K
BBBY
293
PUT
DELISTED
Bed Bath & Beyond Inc
BBBY
– –
-22,000
Closed -$134K
BMAQ
294
DELISTED
Blockchain Moon Acquisition Corp. Common Stock
BMAQ
– –
-40,000
Closed -$400K
CDAK
295
DELISTED
Codiak BioSciences, Inc. Common Stock
CDAK
– –
-10,000
Closed -$8K
ATNX
296
DELISTED
Athenex, Inc. Common Stock
ATNX
– –
-1,775
Closed -$10K
SPIR.WS
297
DELISTED
Spire Global, Inc. Warrants, each whole warrant exercisable for one share of Class A Common Stock at an exercise price of $11.50 per whole share
SPIR.WS
– –
-28,867
Closed -$3K
MDH
298
DELISTED
MDH Acquisition Corp.
MDH
– –
-40,461
Closed -$399K
ISAA
299
DELISTED
Iron Spark I Inc. Class A Common Stock
ISAA
– –
-12,283
Closed -$122K
PSAG
300
DELISTED
Property Solutions Acquisition Corporation II Class A Common Stock
PSAG
– –
-16,000
Closed -$157K
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.