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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
+5.76%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$516M
AUM Growth
+$215M
Cap. Flow
-$47.8M
Cap. Flow %
-9.26%
Top 10 Hldgs %
55.42%
Holding
238
New
71
Increased
20
Reduced
27
Closed
43

Top Buys

Rank Stock Value
1
WSC icon
WillScot Mobile Mini Holdings
WSC
+$3.77M
2
WTRU
Essential Utilities, Inc.6.00% Tangible Equity Units
WTRU
+$1.58M
3
CFXA
Colfax Corporation 5.75% Tangible Equity Units
CFXA
+$1.22M
4
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$930K
5
TWNKW
Hostess Brands, Inc. Warrants
TWNKW
+$912K

Top Sells

Rank Stock Value
1
CCL icon
Carnival Corporation Ltd
CCL
+$3.17M
2
SJIU
South Jersey Industries, Inc.
SJIU
+$1.28M
3
GCMGW
GCM Grosvenor Inc Warrant
GCMGW
+$1.16M
4
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$677K
5
CHNGU
Change Healthcare Inc. Tangible Equity Units
CHNGU
+$645K

Sector Composition

Rank Sector Weight
1 Industrials 0.76%
2 Financials 0.64%
3 Technology 0.23%
4 Healthcare 0.21%
5 Consumer Discretionary 0.17%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GDX icon
26
CALL
VanEck Gold Miners ETF
GDX
$22.5B
$833K 0.16%
24,500
-5,500
-18% -$201K
GCMGW
27
DELISTED
GCM Grosvenor Inc Warrant
GCMGW
$829K 0.16%
538,121
-712,972
-57% -$1.16M
NKLA
28
PUT
DELISTED
Nikola Corporation Common Stock
NKLA
$813K 0.16%
1,500
-367
-20% -$153K
DMS.WS
29
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
$770K 0.15%
558,186
+260,879
+88% +$381K
F icon
30
CALL
Ford
F
$60.9B
$743K 0.14%
+50,000
New +$665K
INSG icon
31
Inseego
INSG
$104M
$739K 0.14%
7,320
+1,130
+18% +$103K
INSG icon
32
PUT
Inseego
INSG
$104M
$739K 0.14%
7,320
– –
NEN icon
33
New England Realty Associates
NEN
$199M
$660K 0.13%
11,000
+5,414
+97% +$322K
PAAS icon
34
CALL
Pan American Silver
PAAS
$17.9B
$643K 0.12%
22,500
-7,500
-25% -$242K
IGICW
35
DELISTED
International General Insurance Holdings Ltd. Warrants expiring 03/17/2025
IGICW
$639K 0.12%
639,277
-1,441
-0.2% -$1.22K
PTON icon
36
PUT
Peloton Interactive
PTON
$2.85B
$620K 0.12%
+5,000
New +$532K
PSTH
37
DELISTED
Pershing Square Tontine Holdings, Ltd.
PSTH
$569K 0.11%
25,000
+15,000
+150% +$360K
ALFIW
38
DELISTED
ALFI Inc Warrant
ALFIW
$563K 0.11%
+54,888
New +$139K
PAVMZ
39
DELISTED
PAVmed Inc. Series Z Warrant
PAVMZ
$521K 0.1%
108,509
+95,274
+720% +$354K
MUDS
40
PUT
DELISTED
Mudrick Capital Acquisition Corporation II Class A Common Stock
MUDS
$498K 0.1%
+40,000
New +$521K
POL.WS
41
DELISTED
Polished.com Inc. Warrants to Purchase Common Stock
POL.WS
$478K 0.09%
+224,638
New +$329K
KLR.WS
42
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
$461K 0.09%
+144,000
New +$528K
TBT icon
43
CALL
ProShares Trust UltraShort Lehman 20+ Year Treasury
TBT
$300M
$452K 0.09%
+24,000
New +$489K
TRKAW
44
DELISTED
Troika Media Group, Inc. Warrant
TRKAW
$439K 0.09%
+556,350
New +$274K
KRBP
45
DELISTED
Kiromic BioPharma, Inc. Common Stock
KRBP
$303K 0.06%
+2,100
New +$527K
VXX icon
46
iPath Series B S&P 500 VIX Short-Term Futures ETN
VXX
$169M
$293K 0.06%
+621
New +$370K
MUDS
47
DELISTED
Mudrick Capital Acquisition Corporation II Class A Common Stock
MUDS
$262K 0.05%
+21,000
New +$273K
PTIXW
48
DELISTED
Protagenic Therapeutics Warrant
PTIXW
$260K 0.05%
+365,790
New +$168K
IKT icon
49
Inhibikase Therapeutics
IKT
$347M
$252K 0.05%
+15,000
New +$441K
AQNU
50
DELISTED
Algonquin Power & Utilities Corp Units
AQNU
$248K 0.05%
+5,000
New +$249K
1
2
3 4 5

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Warberg Asset Management's Q2 2021 Portfolio in Review

As of Q2 2021, Warberg Asset Management held 238 positions worth $516M, up 71% from $301M the previous quarter. Its ten largest holdings account for 55% of the portfolio.

Warberg Asset Management withdrew a net $47.8M in Q2 2021, closing 43 positions and reducing 27 holdings. Its most notable exit was Carnival Corporation Ltd, an estimated $3.17M position sold in full.

By sector, the portfolio is most concentrated in Industrials at 0.76% of assets, up from 0.03% a quarter earlier, followed by Financials and Technology.

Against the trend, Warberg Asset Management opened a new position in WillScot Mobile Mini Holdings worth $3.65M.

  • Warberg Asset Management's largest Q2 2021 buy was WillScot Mobile Mini Holdings: 131,149 shares worth $3.65M.
  • Warberg Asset Management added most to Hostess Brands, Inc. Warrants in Q2 2021, an estimated $912K increase.
  • Warberg Asset Management's biggest Q2 2021 reduction was GCM Grosvenor Inc Warrant, cutting an estimated $1.16M.
  • Warberg Asset Management fully exited Carnival Corporation Ltd in Q2 2021, selling an estimated $3.17M.
  • Warberg Asset Management's ten largest holdings make up 55% of its $516M portfolio in Q2 2021.
  • Warberg Asset Management opened 71 new positions and closed 43 in Q2 2021.
  • Warberg Asset Management's portfolio value rose 71% quarter-over-quarter to $516M.

Based on Warberg Asset Management's 13F filing for Q2 2021, filed 16 Aug 2021.