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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
+0.3%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$507M
AUM Growth
-$131M
Cap. Flow
-$367M
Cap. Flow %
-72.27%
Top 10 Hldgs %
67.23%
Holding
329
New
60
Increased
39
Reduced
52
Closed
80

Top Buys

Rank Stock Value
1
ICSH icon
iShares Ultra Short Duration Bond Active ETF
ICSH
+$1.54M
2
APTV.PRA
Aptiv PLC 5.50% Series A Mandatory Convertible Preferred Shares
APTV.PRA
+$1.12M
3
OAKUU
Oak Woods Acquisition Corp Unit
OAKUU
+$663K
4
MAQC
Maquia Capital Acquisition Corporation Class A Common Stock
MAQC
+$595K
5
FLOT icon
iShares Floating Rate Bond ETF
FLOT
+$534K

Top Sells

Rank Stock Value
1
SJIV
South Jersey Industries, Inc. Corporate Units
SJIV
+$10.7M
2
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$4.92M
3
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$3.75M
4
QQQ icon
Invesco QQQ Trust
QQQ
+$1.62M
5
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$1.62M

Sector Composition

Rank Sector Weight
1 Financials 1.37%
2 Technology 0.4%
3 Industrials 0.23%
4 Consumer Discretionary 0.22%
5 Real Estate 0.18%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
EXEEL
26
DELISTED
Expand Energy Corp Class C Warrants
EXEEL
$608K 0.12%
10,512
+6,184
+143% +$400K
MAQC
27
DELISTED
Maquia Capital Acquisition Corporation Class A Common Stock
MAQC
$600K 0.12%
+56,407
New +$595K
JTAI icon
28
Jet.AI
JTAI
$3M
$589K 0.12%
+1
New +$479K
EXEEW
29
DELISTED
Expand Energy Corp Class A Warrants
EXEEW
$588K 0.12%
9,152
+6,750
+281% +$481K
ACAC
30
DELISTED
Acri Capital Acquisition Corp
ACAC
$578K 0.11%
55,000
+10,800
+24% +$112K
EONR
31
EON Resources
EONR
$25.3M
$534K 0.11%
51,102
+11,100
+28% +$115K
FLOT icon
32
iShares Floating Rate Bond ETF
FLOT
$10.2B
$533K 0.11%
+10,581
New +$534K
MTRY
33
DELISTED
Monterey Innovation Acquisition Corp. Common Stock
MTRY
$533K 0.11%
+49,894
New +$524K
ATVI
34
CALL
DELISTED
Activision Blizzard
ATVI
$531K 0.1%
6,200
-37,500
-86% -$2.91M
ADER
35
DELISTED
26 Capital Acquisition Corp
ADER
$530K 0.1%
51,236
-4,193
-8% -$43.1K
AMC icon
36
PUT
AMC Entertainment Holdings
AMC
$2.52B
$518K 0.1%
+10,340
New +$548K
CNTM
37
DELISTED
ConnectM Technology Solutions, Inc. Common Stock
CNTM
$507K 0.1%
49,440
+13,700
+38% +$139K
UNG icon
38
CALL
United States Natural Gas Fund
UNG
$456M
$507K 0.1%
18,250
+10,750
+143% +$390K
IRRX
39
DELISTED
Integrated Rail and Resources Acquisition Corp.
IRRX
$467K 0.09%
44,323
+31,480
+245% +$327K
PXSAW
40
DELISTED
Pyxis Tankers Inc Warrant
PXSAW
$458K 0.09%
286,281
-46,845
-14% -$71.9K
GSY icon
41
Invesco Ultra Short Duration ETF
GSY
$3.86B
$454K 0.09%
+9,163
New +$455K
GBBK
42
DELISTED
Global Blockchain Acquisition Corp. Common Stock
GBBK
$440K 0.09%
42,800
+2,800
+7% +$28.5K
GNRC icon
43
CALL
Generac Holdings
GNRC
$11.6B
$432K 0.09%
4,000
-7,000
-64% -$810K
VSAC
44
DELISTED
Vision Sensing Acquisition Corp. Class A Common Stock
VSAC
$422K 0.08%
40,043
– –
PNAC
45
DELISTED
Prime Number Acquisition I Corp. Class A Common Stock
PNAC
$419K 0.08%
40,421
– –
BOH icon
46
PUT
Bank of Hawaii
BOH
$3.15B
$380K 0.07%
+7,300
New +$513K
VMCA
47
DELISTED
Valuence Merger Corp. I Class A Ordinary Shares
VMCA
$370K 0.07%
35,041
-164
-0.5% -$1.72K
ECDA
48
DELISTED
ECD Automotive Design
ECDA
$353K 0.07%
172
+105
+157% +$214K
FLNA
49
PUT
Filana Therapeutics
FLNA
$48.8M
$338K 0.07%
14,000
+2,000
+17% +$55.4K
IGICW
50
DELISTED
International General Insurance Holdings Ltd. Warrants expiring 03/17/2025
IGICW
$336K 0.07%
610,133
-141,667
-19% -$78K
1
2
3 4 5

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Warberg Asset Management's Q1 2023 Portfolio in Review

As of Q1 2023, Warberg Asset Management held 329 positions worth $507M, down 21% from $638M the previous quarter. Its ten largest holdings account for 67% of the portfolio.

Warberg Asset Management withdrew a net $367M in Q1 2023, closing 80 positions and reducing 52 holdings. Its most notable exit was South Jersey Industries, Inc. Corporate Units, an estimated $10.7M position sold in full.

By sector, the portfolio is most concentrated in Financials at 1.4% of assets, up from 1.2% a quarter earlier, followed by Technology and Industrials.

Against the trend, Warberg Asset Management opened a new position in iShares Ultra Short Duration Bond Active ETF worth $1.54M.

  • Warberg Asset Management's largest Q1 2023 buy was iShares Ultra Short Duration Bond Active ETF: 30,744 shares worth $1.54M.
  • Warberg Asset Management added most to Expand Energy Corp Class A Warrants in Q1 2023, an estimated $481K increase.
  • Warberg Asset Management's biggest Q1 2023 reduction was Occidental Petroleum Corp Warrants, cutting an estimated $3.75M.
  • Warberg Asset Management fully exited South Jersey Industries, Inc. Corporate Units in Q1 2023, selling an estimated $10.7M.
  • Warberg Asset Management's ten largest holdings make up 67% of its $507M portfolio in Q1 2023.
  • Warberg Asset Management opened 60 new positions and closed 80 in Q1 2023.
  • Warberg Asset Management's portfolio value fell 21% quarter-over-quarter to $507M.

Based on Warberg Asset Management's 13F filing for Q1 2023, filed 15 May 2023.