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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
EFHTU
301
DELISTED
EF Hutton Acquisition Corporation I Unit
EFHTU
– –
-13,303
Closed -$133K
AGTC
302
DELISTED
Applied Genetic Technologies Corporation
AGTC
– –
-30,000
Closed -$8K
ASZ
303
DELISTED
Austerlitz Acquisition Corporation II
ASZ
– –
-40,000
Closed -$392K
AUS
304
DELISTED
Austerlitz Acquisition Corporation I
AUS
– –
-29,600
Closed -$290K
MDH.WS
305
DELISTED
MDH Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50 per share
MDH.WS
– –
-11,019
Closed –
DBGI
306
Digital Brands Group
DBGI
$7.99M
– –
0
– -$1K
DTP
307
DELISTED
DTE Energy Company 2019 Corporate Units
DTP
– –
-20,000
Closed -$1M
LUXA
308
DELISTED
Lux Health Tech Acquisition Corp. Class A Common Stock
LUXA
– –
-18,900
Closed -$189K
TWTR
309
CALL
DELISTED
Twitter, Inc.
TWTR
– –
-5,000
Closed -$219K
SANB
310
DELISTED
Sanaby Health Acquisition Corp. I Class A Common Stock
SANB
– –
-40,000
Closed -$405K
TMPM
311
DELISTED
Turmeric Acquisition Corp. Class A Ordinary Shares
TMPM
– –
-16,867
Closed -$169K
GETY.WS
312
DELISTED
Getty Images Holdings, Inc. Warrants, each exercisable for one share of Class A Common Stock at an exercise price of $11.50 per share
GETY.WS
– –
-29,137
Closed -$1K
ASAQ
313
DELISTED
Atlantic Avenue Acquisition Corp
ASAQ
– –
-11,850
Closed -$119K
BXRX
314
DELISTED
Baudax Bio, Inc. Common Stock
BXRX
– –
-6,750
Closed -$66K
AFARW
315
DELISTED
Aura FAT Projects Acquisition Corp Warrant
AFARW
– –
-11,392
Closed -$1K
BITE
316
DELISTED
Bite Acquisition Corp.
BITE
– –
-10,700
Closed -$105K
EMCGU
317
DELISTED
Embrace Change Acquisition Corp Unit
EMCGU
– –
-12,500
Closed -$127K
9 10 11 12
13

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SCM
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OCAM
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NPCM
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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.