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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
+18.18%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$649M
AUM Growth
+$110M
Cap. Flow
-$127M
Cap. Flow %
-19.49%
Top 10 Hldgs %
64.55%
Holding
273
New
75
Increased
52
Reduced
26
Closed
44

Top Buys

Rank Stock Value
1
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$19M
2
DHR.PRA
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
+$11.6M
3
EXEEW
Expand Energy Corp Class A Warrants
EXEEW
+$7.15M
4
EXEEL
Expand Energy Corp Class C Warrants
EXEEL
+$5.78M
5
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$2.53M

Top Sells

Rank Stock Value
1
WTRU
Essential Utilities, Inc.6.00% Tangible Equity Units
WTRU
+$2.62M
2
AVGOP
Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A
AVGOP
+$2.49M
3
NEE.PRO
NextEra Energy, Inc. 4.872% Corporate Units
NEE.PRO
+$2.03M
4
SABRP
Sabre Corporation 6.50% Series A Mandatory Convertible Preferred Stock
SABRP
+$912K
5
IIVI
Coherent Corp. 6.00% Series A Mandatory Convertible Preferred Stock
IIVI
+$640K

Sector Composition

Rank Sector Weight
1 Financials 0.47%
2 Consumer Discretionary 0.36%
3 Real Estate 0.19%
4 Utilities 0.19%
5 Healthcare 0.18%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SABRP
26
DELISTED
Sabre Corporation 6.50% Series A Mandatory Convertible Preferred Stock
SABRP
$763K 0.12%
5,072
-7,122
-58% -$912K
RCA
27
DELISTED
Ready Capital Corporation 7.00% Convertible Senior Notes due 2023
RCA
$743K 0.11%
+28,312
New +$748K
LCID icon
28
PUT
Lucid Motors
LCID
$3B
$686K 0.11%
2,700
+1,330
+97% +$396K
PTC icon
29
PUT
PTC
PTC
$16.2B
$668K 0.1%
6,200
-2,000
-24% -$225K
PSTH
30
DELISTED
Pershing Square Tontine Holdings, Ltd.
PSTH
$596K 0.09%
30,000
-1
-0% -$20
AVGO icon
31
Broadcom
AVGO
$1.87T
$579K 0.09%
9,200
+470
+5% +$27.9K
DASH icon
32
DoorDash
DASH
$87.4B
$562K 0.09%
+4,800
New +$519K
OPHC icon
33
OptimumBank Holdings
OPHC
$113M
$559K 0.09%
132,850
+115,736
+676% +$490K
BOWL.WS
34
DELISTED
Bowlero Corp. Warrants, each whole warrant exercisable for one share of Class A Common Stock at an e
BOWL.WS
$418K 0.06%
+149,217
New +$290K
BRCC icon
35
PUT
BRC Inc
BRCC
$123M
$417K 0.06%
+20,000
New +$353K
HOOD icon
36
PUT
Robinhood
HOOD
$81.2B
$405K 0.06%
+30,000
New +$401K
CMLS
37
DELISTED
Cumulus Media Inc. Class A Common Stock
CMLS
$365K 0.06%
+36,717
New +$390K
BMTX.WS
38
DELISTED
BM Technologies, Inc. Warrants, each warrant exercisable for one share of Common Stock at an exercise price of $11.50
BMTX.WS
$349K 0.05%
236,415
– –
LCID icon
39
Lucid Motors
LCID
$3B
$330K 0.05%
+1,300
New +$387K
SBEV.WS
40
DELISTED
Splash Beverage Group, Inc. Warrants to purchase 1/40th of a share of Common Stock at an exercise price of $184.00
SBEV.WS
$299K 0.05%
299,278
+258,566
+635% +$237K
JWN
41
CALL
DELISTED
Nordstrom
JWN
$271K 0.04%
+10,000
New +$234K
IGICW
42
DELISTED
International General Insurance Holdings Ltd. Warrants expiring 03/17/2025
IGICW
$264K 0.04%
353,237
+11,846
+3% +$7.84K
DJT icon
43
PUT
Trump Media & Technology Group
DJT
$2.77B
$258K 0.04%
+4,000
New +$301K
FGMCU
44
DELISTED
FG Merger Corp. Unit
FGMCU
$250K 0.04%
+24,879
New +$249K
AVGOP
45
DELISTED
Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A
AVGOP
$240K 0.04%
122
-1,351
-92% -$2.49M
PAAS icon
46
CALL
Pan American Silver
PAAS
$18.4B
$232K 0.04%
+8,500
New +$209K
PEPL
47
DELISTED
PepperLime Health Acquisition Corporation Class A Ordinary Share
PEPL
$227K 0.04%
57,912
+43,776
+310% +$430K
NRAC
48
DELISTED
Northern Revival Acquisition Corporation Class A Ordinary Share
NRAC
$209K 0.03%
21,324
– –
EVGRU
49
DELISTED
Evergreen Corporation Unit
EVGRU
$207K 0.03%
+20,636
New +$207K
BRCC.WS
50
DELISTED
BRC Inc. Redeemable Warrants, each whole warrant exercisable for one share of Class A common stock a
BRCC.WS
$196K 0.03%
+43,883
New +$139K
1
2
3 4 5

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Warberg Asset Management's Q1 2022 Portfolio in Review

As of Q1 2022, Warberg Asset Management held 273 positions worth $649M, up 20% from $540M the previous quarter. Its ten largest holdings account for 65% of the portfolio.

Warberg Asset Management withdrew a net $127M in Q1 2022, closing 44 positions and reducing 26 holdings. Its most notable exit was Essential Utilities, Inc.6.00% Tangible Equity Units, an estimated $2.62M position sold in full.

By sector, the portfolio is most concentrated in Financials at 0.47% of assets, down from 0.5% a quarter earlier, followed by Consumer Discretionary and Real Estate.

Against the trend, Warberg Asset Management opened a new position in iShares 20+ Year Treasury Bond ETF worth $1.85M.

  • Warberg Asset Management's largest Q1 2022 buy was iShares 20+ Year Treasury Bond ETF: 14,000 shares worth $1.85M.
  • Warberg Asset Management added most to Occidental Petroleum Corp Warrants in Q1 2022, an estimated $19M increase.
  • Warberg Asset Management's biggest Q1 2022 reduction was Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A, cutting an estimated $2.49M.
  • Warberg Asset Management fully exited Essential Utilities, Inc.6.00% Tangible Equity Units in Q1 2022, selling an estimated $2.62M.
  • Warberg Asset Management's ten largest holdings make up 65% of its $649M portfolio in Q1 2022.
  • Warberg Asset Management opened 75 new positions and closed 44 in Q1 2022.
  • Warberg Asset Management's portfolio value rose 20% quarter-over-quarter to $649M.

Based on Warberg Asset Management's 13F filing for Q1 2022, filed 13 May 2022.