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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
-1.72%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$455M
AUM Growth
-$194M
Cap. Flow
-$241M
Cap. Flow %
-52.97%
Top 10 Hldgs %
59.59%
Holding
296
New
69
Increased
53
Reduced
33
Closed
45

Top Buys

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$6.55M
2
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$6.29M
3
EXEEL
Expand Energy Corp Class C Warrants
EXEEL
+$6.04M
4
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$2.45M
5
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$2.27M

Top Sells

Rank Stock Value
1
DHR.PRA
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
+$26.2M
2
AVTR.PRA
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
+$13.4M
3
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$1.85M
4
SABRP
Sabre Corporation 6.50% Series A Mandatory Convertible Preferred Stock
SABRP
+$763K
5
RCA
Ready Capital Corporation 7.00% Convertible Senior Notes due 2023
RCA
+$743K

Sector Composition

Rank Sector Weight
1 Financials 0.95%
2 Real Estate 0.3%
3 Utilities 0.29%
4 Healthcare 0.2%
5 Technology 0.19%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SO icon
26
Southern Company
SO
$108B
$713K 0.16%
+10,000
New +$734K
SO icon
27
PUT
Southern Company
SO
$108B
$713K 0.16%
+10,000
New +$734K
PTC icon
28
PUT
PTC
PTC
$15.3B
$659K 0.14%
6,200
– –
GME icon
29
PUT
GameStop
GME
$9.8B
$612K 0.13%
+20,000
New +$636K
SOLN
30
DELISTED
The Southern Company
SOLN
$604K 0.13%
11,401
-10,100
-47% -$555K
SURGW
31
DELISTED
SurgePays, Inc. Warrant
SURGW
$563K 0.12%
469,545
+337,714
+256% +$350K
NFLX icon
32
CALL
Netflix
NFLX
$307B
$525K 0.12%
+30,000
New +$665K
MUDS
33
DELISTED
Mudrick Capital Acquisition Corporation II Class A Common Stock
MUDS
$515K 0.11%
51,063
-50,275
-50% -$506K
OPHC icon
34
OptimumBank Holdings
OPHC
$88.2M
$476K 0.1%
119,118
-13,732
-10% -$56.4K
CTLP
35
CALL
DELISTED
Cantaloupe
CTLP
$469K 0.1%
83,800
+55,300
+194% +$294K
ACACU
36
DELISTED
Acri Capital Acquisition Corp Unit
ACACU
$445K 0.1%
+44,500
New +$444K
IGICW
37
DELISTED
International General Insurance Holdings Ltd. Warrants expiring 03/17/2025
IGICW
$432K 0.09%
799,088
+445,851
+126% +$267K
AEM icon
38
CALL
Agnico Eagle Mines
AEM
$72.2B
$412K 0.09%
9,000
-7,000
-44% -$389K
RDBX
39
PUT
DELISTED
Redbox Entertainment Inc. Class A Common Stock
RDBX
$370K 0.08%
+50,000
New +$295K
MSTR icon
40
PUT
Strategy Inc
MSTR
$34.1B
$361K 0.08%
+22,000
New +$636K
XLB icon
41
CALL
State Street Materials Select Sector SPDR ETF
XLB
$8.72B
$322K 0.07%
+9,000
New +$377K
VMCA
42
DELISTED
Valuence Merger Corp. I Class A Ordinary Shares
VMCA
$321K 0.07%
+32,100
New +$322K
IPOD
43
DELISTED
Social Capital Hedosophia Holdings Corp. IV
IPOD
$315K 0.07%
+31,700
New +$318K
PAAS icon
44
CALL
Pan American Silver
PAAS
$17.9B
$299K 0.07%
15,200
+6,700
+79% +$161K
PNACU
45
DELISTED
Prime Number Acquisition I Corp. Unit
PNACU
$273K 0.06%
+27,316
New +$273K
YYAI icon
46
AiRWA Inc
YYAI
$306K
– –
0
– –
FLFVU
47
DELISTED
Feutune Light Acquisition Corporation Unit
FLFVU
$248K 0.05%
+24,900
New +$248K
AFAR
48
DELISTED
Aura FAT Projects Acquisition Corp Class A Ordinary Shares
AFAR
$248K 0.05%
+25,000
New +$247K
HOOD icon
49
PUT
Robinhood
HOOD
$80.4B
$247K 0.05%
30,000
– –
VXX icon
50
CALL
iPath Series B S&P 500 VIX Short-Term Futures ETN
VXX
$169M
$231K 0.05%
+625
New +$247K
1
2
3 4 5

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Warberg Asset Management's Q2 2022 Portfolio in Review

As of Q2 2022, Warberg Asset Management held 296 positions worth $455M, down 30% from $649M the previous quarter. Its ten largest holdings account for 60% of the portfolio.

Warberg Asset Management withdrew a net $241M in Q2 2022, closing 45 positions and reducing 33 holdings. Its most notable exit was Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A, an estimated $26.2M position sold in full.

By sector, the portfolio is most concentrated in Financials at 0.95% of assets, up from 0.47% a quarter earlier, followed by Real Estate and Utilities.

Against the trend, Warberg Asset Management opened a new position in State Street SPDR S&P 500 ETF Trust worth $6.04M.

  • Warberg Asset Management's largest Q2 2022 buy was State Street SPDR S&P 500 ETF Trust: 16,000 shares worth $6.04M.
  • Warberg Asset Management added most to Occidental Petroleum Corp Warrants in Q2 2022, an estimated $6.29M increase.
  • Warberg Asset Management's biggest Q2 2022 reduction was The Southern Company, cutting an estimated $555K.
  • Warberg Asset Management fully exited Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A in Q2 2022, selling an estimated $26.2M.
  • Warberg Asset Management's ten largest holdings make up 60% of its $455M portfolio in Q2 2022.
  • Warberg Asset Management opened 69 new positions and closed 45 in Q2 2022.
  • Warberg Asset Management's portfolio value fell 30% quarter-over-quarter to $455M.

Based on Warberg Asset Management's 13F filing for Q2 2022, filed 11 Aug 2022.