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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
+1.57%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$617M
AUM Growth
+$101M
Cap. Flow
-$159M
Cap. Flow %
-25.85%
Top 10 Hldgs %
61.15%
Holding
231
New
51
Increased
29
Reduced
33
Closed
34

Top Buys

Rank Stock Value
1
EXEEW
Expand Energy Corp Class A Warrants
EXEEW
+$3.67M
2
MUDS
Mudrick Capital Acquisition Corporation II Class A Common Stock
MUDS
+$2.21M
3
QQQ icon
Invesco QQQ Trust
QQQ
+$1.84M
4
PAVMZ
PAVmed Inc. Series Z Warrant
PAVMZ
+$1.82M
5
NEE.PRP
NextEra Energy, Inc. 5.279% Corporate Units
NEE.PRP
+$1.57M

Top Sells

Rank Stock Value
1
TWNKW
Hostess Brands, Inc. Warrants
TWNKW
+$5.03M
2
WSC icon
WillScot Mobile Mini Holdings
WSC
+$2.17M
3
CFXA
Colfax Corporation 5.75% Tangible Equity Units
CFXA
+$1.25M
4
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$907K
5
POL.WS
Polished.com Inc. Warrants to Purchase Common Stock
POL.WS
+$478K

Sector Composition

Rank Sector Weight
1 Financials 0.58%
2 Consumer Discretionary 0.44%
3 Industrials 0.35%
4 Technology 0.13%
5 Real Estate 0.12%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
DOCN icon
26
PUT
DigitalOcean
DOCN
$13.7B
$776K 0.13%
+10,000
New +$618K
NEN icon
27
New England Realty Associates
NEN
$195M
$737K 0.12%
12,090
+1,090
+10% +$66.6K
PSTH
28
DELISTED
Pershing Square Tontine Holdings, Ltd.
PSTH
$690K 0.11%
35,000
+10,000
+40% +$203K
F icon
29
CALL
Ford
F
$58.5B
$680K 0.11%
48,000
-2,000
-4% -$27.2K
NSLR
30
PUT
Neostellar Capital Corp
NSLR
$269M
$635K 0.1%
49,200
-34,800
-41% -$457K
GCMGW
31
DELISTED
GCM Grosvenor Inc Warrant
GCMGW
$575K 0.09%
288,705
-249,416
-46% -$425K
INSG icon
32
Inseego
INSG
$114M
$488K 0.08%
7,320
– –
INSG icon
33
PUT
Inseego
INSG
$114M
$488K 0.08%
7,320
– –
IGICW
34
DELISTED
International General Insurance Holdings Ltd. Warrants expiring 03/17/2025
IGICW
$458K 0.07%
649,842
+10,565
+2% +$9.78K
TBT icon
35
CALL
ProShares Trust UltraShort Lehman 20+ Year Treasury
TBT
$304M
$440K 0.07%
24,000
– –
QS icon
36
CALL
QuantumScape Corp
QS
$3.21B
$417K 0.07%
+17,000
New +$388K
MYSEW
37
Myseum.AI Inc Series A Warrant
MYSEW
$24K
$393K 0.06%
+45,658
New +$143K
PAAS icon
38
CALL
Pan American Silver
PAAS
$18.2B
$384K 0.06%
16,500
-6,000
-27% -$157K
AHT
39
CALL
Ashford Hospitality Trust
AHT
$20.9M
$383K 0.06%
+2,600
New +$440K
NKLA
40
PUT
DELISTED
Nikola Corporation Common Stock
NKLA
$373K 0.06%
1,167
-333
-22% -$117K
KLR.WS
41
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
$373K 0.06%
136,046
-7,954
-6% -$22.5K
PTON icon
42
PUT
Peloton Interactive
PTON
$2.77B
$348K 0.06%
4,000
-1,000
-20% -$111K
ASTRW
43
DELISTED
Astra Space, Inc. Warrant
ASTRW
$249K 0.04%
+104,873
New +$326K
DSKEW
44
DELISTED
Daseke, Inc. Warrant
DSKEW
$218K 0.04%
1,063,101
+49,909
+5% +$9.21K
PCT icon
45
PUT
PureCycle Technologies
PCT
$1.28B
$212K 0.03%
16,000
-25,000
-61% -$377K
NRAC
46
DELISTED
Northern Revival Acquisition Corporation Class A Ordinary Share
NRAC
$207K 0.03%
+21,324
New +$206K
TRKAW
47
DELISTED
Troika Media Group, Inc. Warrant
TRKAW
$202K 0.03%
565,647
+9,297
+2% +$4.5K
BKSY.WS icon
48
BlackSky Technology Inc Warrants
BKSY.WS
$564K
$200K 0.03%
+126,760
New +$212K
DMS.WS
49
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
$199K 0.03%
262,122
-296,064
-53% -$291K
MUDS
50
PUT
DELISTED
Mudrick Capital Acquisition Corporation II Class A Common Stock
MUDS
$199K 0.03%
20,000
-20,000
-50% -$210K
1
2
3 4 5

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Warberg Asset Management's Q3 2021 Portfolio in Review

As of Q3 2021, Warberg Asset Management held 231 positions worth $617M, up 20% from $516M the previous quarter. Its ten largest holdings account for 61% of the portfolio.

Warberg Asset Management withdrew a net $159M in Q3 2021, closing 34 positions and reducing 33 holdings. Its most notable exit was Colfax Corporation 5.75% Tangible Equity Units, an estimated $1.25M position sold in full.

By sector, the portfolio is most concentrated in Financials at 0.58% of assets, down from 0.64% a quarter earlier, followed by Consumer Discretionary and Industrials.

Against the trend, Warberg Asset Management opened a new position in Expand Energy Corp Class A Warrants worth $4.29M.

  • Warberg Asset Management's largest Q3 2021 buy was Expand Energy Corp Class A Warrants: 118,000 shares worth $4.29M.
  • Warberg Asset Management added most to Mudrick Capital Acquisition Corporation II Class A Common Stock in Q3 2021, an estimated $2.21M increase.
  • Warberg Asset Management's biggest Q3 2021 reduction was Hostess Brands, Inc. Warrants, cutting an estimated $5.03M.
  • Warberg Asset Management fully exited Colfax Corporation 5.75% Tangible Equity Units in Q3 2021, selling an estimated $1.25M.
  • Warberg Asset Management's ten largest holdings make up 61% of its $617M portfolio in Q3 2021.
  • Warberg Asset Management opened 51 new positions and closed 34 in Q3 2021.
  • Warberg Asset Management's portfolio value rose 20% quarter-over-quarter to $617M.

Based on Warberg Asset Management's 13F filing for Q3 2021, filed 15 Nov 2021.