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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
+0.84%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$301M
AUM Growth
-$107M
Cap. Flow
-$177M
Cap. Flow %
-58.87%
Top 10 Hldgs %
48.48%
Holding
214
New
39
Increased
18
Reduced
31
Closed
60

Top Buys

Rank Stock Value
1
GCMGW
GCM Grosvenor Inc Warrant
GCMGW
+$1.72M
2
IEAWW
Infrastructure and Energy Alternatives, Inc. Warrant
IEAWW
+$1.65M
3
SJIU
South Jersey Industries, Inc.
SJIU
+$1.34M
4
NSLR
Neostellar Capital Corp
NSLR
+$1.18M
5
TWNKW
Hostess Brands, Inc. Warrants
TWNKW
+$979K

Top Sells

Rank Stock Value
1
NCLH icon
Norwegian Cruise Line
NCLH
+$1.44M
2
PSTH
Pershing Square Tontine Holdings, Ltd.
PSTH
+$838K
3
GRWG icon
GrowGeneration
GRWG
+$603K
4
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$536K
5
ALTG.WS
Alta Equipment Group Warrants
ALTG.WS
+$369K

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 1.11%
2 Financials 0.72%
3 Technology 0.25%
4 Real Estate 0.1%
5 Healthcare 0.07%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
INSG icon
26
PUT
Inseego
INSG
$114M
$732K 0.24%
7,320
– –
TLT icon
27
iShares 20+ Year Treasury Bond ETF
TLT
$42.1B
$677K 0.22%
+5,000
New +$725K
CHNGU
28
DELISTED
Change Healthcare Inc. Tangible Equity Units
CHNGU
$645K 0.21%
+8,616
New +$675K
INSG icon
29
Inseego
INSG
$114M
$619K 0.21%
6,190
-440
-7% -$64.1K
ALTG.WS
30
DELISTED
Alta Equipment Group Warrants
ALTG.WS
$611K 0.2%
174,606
-145,194
-45% -$369K
IGICW
31
DELISTED
International General Insurance Holdings Ltd. Warrants expiring 03/17/2025
IGICW
$570K 0.19%
640,718
+10,197
+2% +$7.75K
GME icon
32
PUT
GameStop
GME
$9.75B
$569K 0.19%
+12,000
New +$354K
SPCK
33
PUT
The SPAC and New Issue ETF
SPCK
$8.28M
$485K 0.16%
+17,000
New +$502K
DMS.WS
34
DELISTED
Digital Media Solutions, Inc. Warrants, each whole warrant exercisable for one Class A Ordinary Share at an exercise price of $11.50
DMS.WS
$485K 0.16%
297,307
+170,670
+135% +$350K
VUZI icon
35
PUT
Vuzix
VUZI
$194M
$382K 0.13%
+15,000
New +$243K
CLOV icon
36
PUT
Clover Health Investments
CLOV
$2.2B
$376K 0.12%
+49,800
New +$562K
RIOT icon
37
PUT
Riot Platforms
RIOT
$7.63B
$373K 0.12%
7,000
-3,000
-30% -$121K
DSKEW
38
DELISTED
Daseke, Inc. Warrant
DSKEW
$342K 0.11%
1,006,389
+91,389
+10% +$19.5K
SDS icon
39
ProShares UltraShort S&P500
SDS
$415M
$323K 0.11%
+1,200
New +$346K
NEN icon
40
New England Realty Associates
NEN
$195M
$307K 0.1%
5,586
+1,000
+22% +$52.3K
PSTH
41
PUT
DELISTED
Pershing Square Tontine Holdings, Ltd.
PSTH
$267K 0.09%
11,100
-25,600
-70% -$718K
GOEVW
42
DELISTED
Canoo Inc. Warrant
GOEVW
$249K 0.08%
+88,000
New +$415K
PSTH
43
DELISTED
Pershing Square Tontine Holdings, Ltd.
PSTH
$240K 0.08%
10,000
-29,900
-75% -$838K
AESC
44
DELISTED
The AES Corporation
AESC
$217K 0.07%
+2,097
New +$214K
BLNK icon
45
PUT
Blink Charging
BLNK
$74.3M
$206K 0.07%
5,000
-60,000
-92% -$2.61M
NBSTU
46
DELISTED
Newbury Street Acquisition Corporation Units
NBSTU
$198K 0.07%
+20,000
New +$198K
NG icon
47
CALL
NovaGold Resources
NG
$2.56B
$184K 0.06%
21,000
+5,300
+34% +$48.3K
BFIIW
48
DELISTED
BurgerFi International, Inc. Warrant
BFIIW
$181K 0.06%
+46,661
New +$135K
PTOCU
49
DELISTED
Pine TechnologYES Acquisition Corp. Unit
PTOCU
$174K 0.06%
+17,500
New +$174K
OPHC icon
50
OptimumBank Holdings
OPHC
$93.2M
$165K 0.05%
42,623
+6,410
+18% +$24.5K
1
2
3 4 5

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Warberg Asset Management's Q1 2021 Portfolio in Review

As of Q1 2021, Warberg Asset Management held 214 positions worth $301M, down 26% from $408M the previous quarter. Its ten largest holdings account for 48% of the portfolio.

Warberg Asset Management withdrew a net $177M in Q1 2021, closing 60 positions and reducing 31 holdings. Its most notable exit was Norwegian Cruise Line, an estimated $1.44M position sold in full.

By sector, the portfolio is most concentrated in Consumer Discretionary at 1.1% of assets, down from 1.3% a quarter earlier, followed by Financials and Technology.

Against the trend, Warberg Asset Management opened a new position in South Jersey Industries, Inc. worth $1.28M.

  • Warberg Asset Management's largest Q1 2021 buy was South Jersey Industries, Inc.: 33,225 shares worth $1.28M.
  • Warberg Asset Management added most to GCM Grosvenor Inc Warrant in Q1 2021, an estimated $1.72M increase.
  • Warberg Asset Management's biggest Q1 2021 reduction was Pershing Square Tontine Holdings, Ltd., cutting an estimated $838K.
  • Warberg Asset Management fully exited Norwegian Cruise Line in Q1 2021, selling an estimated $1.44M.
  • Warberg Asset Management's ten largest holdings make up 48% of its $301M portfolio in Q1 2021.
  • Warberg Asset Management opened 39 new positions and closed 60 in Q1 2021.
  • Warberg Asset Management's portfolio value fell 26% quarter-over-quarter to $301M.

Based on Warberg Asset Management's 13F filing for Q1 2021, filed 17 May 2021.