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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
EOCW
276
DELISTED
Elliott Opportunity II Corp.
EOCW
– –
-10,000
Closed -$101K
TRKA
277
DELISTED
Troika Media Group, Inc. Common Stock
TRKA
– –
-1,800
Closed -$5.23K
AGRX
278
DELISTED
Agile Therapeutics
AGRX
– –
-350
Closed -$3.97K
RAM
279
DELISTED
Aries I Acquisition Corporation Class A Ordinary Share
RAM
– –
-41,237
Closed -$424K
JMAC
280
DELISTED
Maxpro Capital Acquisition Corp. Class A Common Stock
JMAC
– –
-16,502
Closed -$171K
BOXD.WS
281
DELISTED
Boxed, Inc. Warrants, each whole warrant exercisable to purchase one share of Common Stock at an exercise price of $11.50 per share
BOXD.WS
– –
-71,618
Closed -$2.79K
GFLU
282
DELISTED
GFL Environmental Inc. Tangible Equity Units
GFLU
– –
-76,002
Closed -$4.92M
PTOC
283
DELISTED
Pine Technology Acquisition Corp. Class A Common Stock
PTOC
– –
-17,502
Closed -$176K
IONM
284
DELISTED
Assure Holdings Corp. Common Stock
IONM
– –
-56
Closed -$5.21K
SJIV
285
DELISTED
South Jersey Industries, Inc. Corporate Units
SJIV
– –
-155,100
Closed -$10.7M
GSQD
286
DELISTED
G Squared Ascend I Inc.
GSQD
– –
-40,000
Closed -$404K
ELAT
287
DELISTED
Elanco Animal Health Incorporated 5.00% Tangible Equity Units
ELAT
– –
-35,430
Closed -$692K
IGAC
288
DELISTED
IG Acquisition Corp. Class A Common Stock
IGAC
– –
-54,800
Closed -$551K
PKBOW
289
DELISTED
Peak Bio, Inc. Warrant
PKBOW
– –
-101,345
Closed -$20.5K
DRAY
290
DELISTED
Macondray Capital Acquisition Corp. I Class A Ordinary Shares
DRAY
– –
-19,700
Closed -$201K
GLS.WS
291
DELISTED
Gelesis Holdings, Inc. Warrants, each whole warrant exercisable for one share of Common Stock at an exercise price of $11.50
GLS.WS
– –
-89,400
Closed -$796
GROM
292
DELISTED
Grom Social Enterprises Inc. Common Stock
GROM
– –
-1,050
Closed -$32.3K
ATHX
293
DELISTED
Athersys, Inc. Common Stock
ATHX
– –
-16,780
Closed -$14.1K
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 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.