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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
+1.31%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$540M
AUM Growth
-$77.1M
Cap. Flow
-$263M
Cap. Flow %
-48.78%
Top 10 Hldgs %
59.86%
Holding
253
New
57
Increased
12
Reduced
52
Closed
53

Top Buys

Rank Stock Value
1
AVTR.PRA
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
+$15.3M
2
DHR.PRA
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
+$15.2M
3
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$3.64M
4
EXEEW
Expand Energy Corp Class A Warrants
EXEEW
+$3.52M
5
AVGOP
Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A
AVGOP
+$2.58M

Top Sells

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$1.93M
2
WSC icon
WillScot Mobile Mini Holdings
WSC
+$1.78M
3
NEE.PRP
NextEra Energy, Inc. 5.279% Corporate Units
NEE.PRP
+$1.53M
4
IEAWW
Infrastructure and Energy Alternatives, Inc. Warrant
IEAWW
+$1.51M
5
MUDS
Mudrick Capital Acquisition Corporation II Class A Common Stock
MUDS
+$1.39M

Sector Composition

Rank Sector Weight
1 Financials 0.5%
2 Consumer Discretionary 0.21%
3 Healthcare 0.2%
4 Technology 0.16%
5 Real Estate 0.06%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GDX icon
26
CALL
VanEck Gold Miners ETF
GDX
$22.7B
$650K 0.12%
20,300
-34,700
-63% -$1.11M
IIVI
27
DELISTED
Coherent Corp. 6.00% Series A Mandatory Convertible Preferred Stock
IIVI
$640K 0.12%
+2,262
New +$600K
NSLR
28
PUT
Neostellar Capital Corp
NSLR
$269M
$637K 0.12%
49,200
– –
IYR icon
29
PUT
iShares US Real Estate ETF
IYR
$4.66B
$592K 0.11%
+5,100
New +$559K
PSTH
30
DELISTED
Pershing Square Tontine Holdings, Ltd.
PSTH
$592K 0.11%
30,001
-4,999
-14% -$99.2K
AVGO icon
31
Broadcom
AVGO
$1.85T
$581K 0.11%
+8,730
New +$491K
PAVMZ
32
DELISTED
PAVmed Inc. Series Z Warrant
PAVMZ
$543K 0.1%
339,517
-106,382
-24% -$372K
SLV icon
33
CALL
iShares Silver Trust
SLV
$28B
$542K 0.1%
25,200
-84,800
-77% -$1.83M
LCID icon
34
PUT
Lucid Motors
LCID
$2.88B
$521K 0.1%
+1,370
New +$516K
TTD icon
35
PUT
Trade Desk
TTD
$8.48B
$467K 0.09%
+5,100
New +$447K
BMTX.WS
36
DELISTED
BM Technologies, Inc. Warrants, each warrant exercisable for one share of Common Stock at an exercise price of $11.50
BMTX.WS
$442K 0.08%
236,415
+172,255
+268% +$346K
KLR.WS
37
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
$434K 0.08%
182,270
+46,224
+34% +$118K
TMV icon
38
CALL
Direxion Daily 20+ Year Treasury Bear 3X ETF
TMV
$187M
$414K 0.08%
30,400
-29,600
-49% -$422K
MRNA icon
39
PUT
Moderna
MRNA
$21.8B
$406K 0.08%
1,600
-7,400
-82% -$2.16M
MRNA icon
40
Moderna
MRNA
$21.8B
$381K 0.07%
+1,501
New +$439K
NEN icon
41
New England Realty Associates
NEN
$195M
$339K 0.06%
5,001
-7,089
-59% -$443K
SWAGW icon
42
Stran & Company Warrant
SWAGW
$318K 0.06%
+281,123
New +$298K
CTLP
43
CALL
DELISTED
Cantaloupe
CTLP
$295K 0.05%
+33,200
New +$330K
IGICW
44
DELISTED
International General Insurance Holdings Ltd. Warrants expiring 03/17/2025
IGICW
$256K 0.05%
341,391
-308,451
-47% -$244K
CAR icon
45
PUT
Avis
CAR
$4.86B
$228K 0.04%
+1,100
New +$244K
YCBD.PRA
46
DELISTED
cbdMD, Inc. 8.0% Series A Cumulative Convertible Preferred Stock
YCBD.PRA
$227K 0.04%
+38,000
New +$232K
F icon
47
PUT
Ford
F
$58.5B
$210K 0.04%
+10,100
New +$186K
PXSAP
48
DELISTED
Pyxis Tankers Inc. 7.75% Series A Cumulative Convertible Preferred Shares
PXSAP
$210K 0.04%
+15,307
New +$234K
NRAC
49
DELISTED
Northern Revival Acquisition Corporation Class A Ordinary Share
NRAC
$207K 0.04%
21,324
– –
GACQ
50
DELISTED
Global Consumer Acquisition Corp. Common Stock
GACQ
$198K 0.04%
20,000
– –
1
2
3 4 5

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Warberg Asset Management's Q4 2021 Portfolio in Review

As of Q4 2021, Warberg Asset Management held 253 positions worth $540M, down 13% from $617M the previous quarter. Its ten largest holdings account for 60% of the portfolio.

Warberg Asset Management withdrew a net $263M in Q4 2021, closing 53 positions and reducing 52 holdings. Its most notable exit was Invesco QQQ Trust, an estimated $1.93M position sold in full.

By sector, the portfolio is most concentrated in Financials at 0.5% of assets, down from 0.58% a quarter earlier, followed by Consumer Discretionary and Healthcare.

Against the trend, Warberg Asset Management opened a new position in Avantor, Inc. Series A Mandatory Convertible Preferred Stock worth $16.3M.

  • Warberg Asset Management's largest Q4 2021 buy was Avantor, Inc. Series A Mandatory Convertible Preferred Stock: 126,255 shares worth $16.3M.
  • Warberg Asset Management added most to Expand Energy Corp Class A Warrants in Q4 2021, an estimated $3.52M increase.
  • Warberg Asset Management's biggest Q4 2021 reduction was Mudrick Capital Acquisition Corporation II Class A Common Stock, cutting an estimated $1.39M.
  • Warberg Asset Management fully exited Invesco QQQ Trust in Q4 2021, selling an estimated $1.93M.
  • Warberg Asset Management's ten largest holdings make up 60% of its $540M portfolio in Q4 2021.
  • Warberg Asset Management opened 57 new positions and closed 53 in Q4 2021.
  • Warberg Asset Management's portfolio value fell 13% quarter-over-quarter to $540M.

Based on Warberg Asset Management's 13F filing for Q4 2021, filed 14 Feb 2022.