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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
+1.52%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$638M
AUM Growth
+$60.1M
Cap. Flow
-$164M
Cap. Flow %
-25.73%
Top 10 Hldgs %
75.41%
Holding
356
New
64
Increased
35
Reduced
46
Closed
83

Top Buys

Rank Stock Value
1
SJIV
South Jersey Industries, Inc. Corporate Units
SJIV
+$9.41M
2
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$1.65M
3
HTZWW
Hertz Global Holdings Warrants
HTZWW
+$724K
4
ELAT
Elanco Animal Health Incorporated 5.00% Tangible Equity Units
ELAT
+$712K
5
PXSAP
Pyxis Tankers Inc. 7.75% Series A Cumulative Convertible Preferred Shares
PXSAP
+$691K

Top Sells

Rank Stock Value
1
EXEEW
Expand Energy Corp Class A Warrants
EXEEW
+$34.5M
2
EXEEL
Expand Energy Corp Class C Warrants
EXEEL
+$24.2M
3
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$18.5M
4
QQQ icon
Invesco QQQ Trust
QQQ
+$8.3M
5
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$8.07M

Sector Composition

Rank Sector Weight
1 Financials 1.2%
2 Technology 0.39%
3 Real Estate 0.28%
4 Healthcare 0.22%
5 Industrials 0.17%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SLV icon
26
CALL
iShares Silver Trust
SLV
$28B
$661K 0.1%
30,000
-25,000
-45% -$490K
ADER
27
DELISTED
26 Capital Acquisition Corp
ADER
$562K 0.09%
55,429
+15,429
+39% +$154K
IGAC
28
DELISTED
IG Acquisition Corp. Class A Common Stock
IGAC
$551K 0.09%
+54,800
New +$550K
BTU icon
29
CALL
Peabody Energy
BTU
$2.6B
$502K 0.08%
19,000
-1,000
-5% -$27.5K
ACAC
30
DELISTED
Acri Capital Acquisition Corp
ACAC
$452K 0.07%
44,200
-300
-0.7% -$3.05K
PXSAW
31
DELISTED
Pyxis Tankers Inc Warrant
PXSAW
$446K 0.07%
333,126
+202,075
+154% +$204K
TSLA icon
32
CALL
Tesla
TSLA
$1.23T
$443K 0.07%
+3,600
New +$682K
XLB icon
33
PUT
State Street Materials Select Sector SPDR ETF
XLB
$8.5B
$437K 0.07%
+10,000
New +$384K
IGICW
34
DELISTED
International General Insurance Holdings Ltd. Warrants expiring 03/17/2025
IGICW
$432K 0.07%
751,800
-47,288
-6% -$30K
MSTR icon
35
PUT
Strategy Inc
MSTR
$34.1B
$425K 0.07%
30,000
+10,000
+50% +$204K
RAM
36
DELISTED
Aries I Acquisition Corporation Class A Ordinary Share
RAM
$424K 0.07%
+41,237
New +$421K
UNG icon
37
CALL
United States Natural Gas Fund
UNG
$456M
$423K 0.07%
7,500
+1,250
+20% +$99.3K
VSAC
38
DELISTED
Vision Sensing Acquisition Corp. Class A Common Stock
VSAC
$414K 0.06%
40,043
– –
PNAC
39
DELISTED
Prime Number Acquisition I Corp. Class A Common Stock
PNAC
$411K 0.06%
40,421
– –
EONR
40
EON Resources
EONR
$25.3M
$409K 0.06%
40,002
– –
GSQD
41
DELISTED
G Squared Ascend I Inc.
GSQD
$404K 0.06%
40,000
– –
GBBK
42
DELISTED
Global Blockchain Acquisition Corp. Common Stock
GBBK
$404K 0.06%
40,000
– –
FCX icon
43
CALL
Freeport-McMoran
FCX
$90B
$380K 0.06%
10,000
– –
VMCA
44
DELISTED
Valuence Merger Corp. I Class A Ordinary Shares
VMCA
$365K 0.06%
35,205
– –
OPHC icon
45
OptimumBank Holdings
OPHC
$93.2M
$362K 0.06%
88,608
+18,266
+26% +$78.9K
CNTM
46
DELISTED
ConnectM Technology Solutions, Inc. Common Stock
CNTM
$358K 0.06%
35,740
– –
FLNA
47
PUT
Filana Therapeutics
FLNA
$48.8M
$354K 0.06%
12,000
+5,000
+71% +$180K
OCEA
48
DELISTED
Ocean Biomedical, Inc. Common Stock
OCEA
$352K 0.06%
+33,809
New +$347K
AWIN
49
DELISTED
AERWINS Technologies Inc
AWIN
$335K 0.05%
+319
New +$327K
EXEEL
50
DELISTED
Expand Energy Corp Class C Warrants
EXEEL
$335K 0.05%
4,328
-298,055
-99% -$24.2M
1
2
3 4 5

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SCM
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NPCM
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Warberg Asset Management's Q4 2022 Portfolio in Review

As of Q4 2022, Warberg Asset Management held 356 positions worth $638M, up 10% from $578M the previous quarter. Its ten largest holdings account for 75% of the portfolio.

Warberg Asset Management withdrew a net $164M in Q4 2022, closing 83 positions and reducing 46 holdings. Its most notable exit was Expand Energy Corp Class B Warrants, an estimated $18.5M position sold in full.

By sector, the portfolio is most concentrated in Financials at 1.2% of assets, down from 1.5% a quarter earlier, followed by Technology and Real Estate.

Against the trend, Warberg Asset Management opened a new position in Janus Henderson Short Duration Income ETF worth $1.62M.

  • Warberg Asset Management's largest Q4 2022 buy was Janus Henderson Short Duration Income ETF: 34,175 shares worth $1.62M.
  • Warberg Asset Management added most to South Jersey Industries, Inc. Corporate Units in Q4 2022, an estimated $9.41M increase.
  • Warberg Asset Management's biggest Q4 2022 reduction was Expand Energy Corp Class A Warrants, cutting an estimated $34.5M.
  • Warberg Asset Management fully exited Expand Energy Corp Class B Warrants in Q4 2022, selling an estimated $18.5M.
  • Warberg Asset Management's ten largest holdings make up 75% of its $638M portfolio in Q4 2022.
  • Warberg Asset Management opened 64 new positions and closed 83 in Q4 2022.
  • Warberg Asset Management's portfolio value rose 10% quarter-over-quarter to $638M.

Based on Warberg Asset Management's 13F filing for Q4 2022, filed 13 Feb 2023.