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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
+0.9%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$603M
AUM Growth
+$95.1M
Cap. Flow
-$108M
Cap. Flow %
-17.85%
Top 10 Hldgs %
72.31%
Holding
314
New
63
Increased
45
Reduced
48
Closed
75

Top Buys

Rank Stock Value
1
HTZWW
Hertz Global Holdings Warrants
HTZWW
+$1.67M
2
EPR.PRC icon
EPR Properties 5.75% Series C Preferred Shares
EPR.PRC
+$751K
3
EXEEL
Expand Energy Corp Class C Warrants
EXEEL
+$733K
4
HUDA
Hudson Acquisition I Corp. Common Stock
HUDA
+$718K
5
NEN icon
New England Realty Associates
NEN
+$675K

Top Sells

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
+$1.11M
3
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$947K
4
PXSAP
Pyxis Tankers Inc. 7.75% Series A Cumulative Convertible Preferred Shares
PXSAP
+$694K
5
OAKUU
Oak Woods Acquisition Corp Unit
OAKUU
+$663K

Sector Composition

Rank Sector Weight
1 Financials 1.39%
2 Technology 0.29%
3 Real Estate 0.27%
4 Industrials 0.17%
5 Energy 0.11%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
HUDA
26
DELISTED
Hudson Acquisition I Corp. Common Stock
HUDA
$724K 0.12%
+69,800
New +$718K
GDST
27
DELISTED
Goldenstone Acquisition Limited Common Stock
GDST
$700K 0.12%
66,023
+5,927
+10% +$62.3K
IRRX
28
DELISTED
Integrated Rail and Resources Acquisition Corp.
IRRX
$695K 0.12%
64,642
+20,319
+46% +$216K
MSFT icon
29
PUT
Microsoft
MSFT
$2.9T
$681K 0.11%
+2,000
New +$627K
OAKU
30
DELISTED
Oak Woods Acquisition Corp
OAKU
$668K 0.11%
+65,000
New +$664K
EONR
31
EON Resources
EONR
$25.4M
$661K 0.11%
62,266
+11,164
+22% +$118K
CNTM
32
DELISTED
ConnectM Technology Solutions, Inc. Common Stock
CNTM
$637K 0.11%
60,889
+11,449
+23% +$118K
JTAI icon
33
Jet.AI
JTAI
$2.6M
$597K 0.1%
1
– –
ACAC
34
DELISTED
Acri Capital Acquisition Corp
ACAC
$590K 0.1%
54,500
-500
-0.9% -$5.34K
AMC icon
35
PUT
AMC Entertainment Holdings
AMC
$2.45B
$553K 0.09%
12,570
+2,230
+22% +$110K
ADER
36
DELISTED
26 Capital Acquisition Corp
ADER
$537K 0.09%
49,934
-1,302
-3% -$13.9K
CVNA icon
37
CALL
Carvana
CVNA
$47.5B
$518K 0.09%
+100,000
New +$277K
GBBK
38
DELISTED
Global Blockchain Acquisition Corp. Common Stock
GBBK
$502K 0.08%
48,078
+5,278
+12% +$54.7K
PNAC
39
DELISTED
Prime Number Acquisition I Corp. Class A Common Stock
PNAC
$494K 0.08%
46,800
+6,379
+16% +$67K
MOBV
40
DELISTED
Mobiv Acquisition Corp Class A Common Stock
MOBV
$468K 0.08%
44,250
+21,500
+95% +$226K
ACAH
41
DELISTED
Atlantic Coastal Acquisition Corp. Class A Common Stock
ACAH
$466K 0.08%
+45,104
New +$460K
FGMC
42
DELISTED
FG Merger Corp. Common Stock
FGMC
$438K 0.07%
41,421
+19,262
+87% +$202K
JPM icon
43
CALL
JPMorgan Chase
JPM
$916B
$436K 0.07%
+3,000
New +$413K
NVDA icon
44
CALL
NVIDIA
NVDA
$4.6T
$423K 0.07%
+10,000
New +$332K
MNTN
45
DELISTED
Everest Consolidator Acquisition Corporation
MNTN
$420K 0.07%
+39,427
New +$416K
UNG icon
46
CALL
United States Natural Gas Fund
UNG
$450M
$401K 0.07%
13,500
-4,750
-26% -$129K
AIMBU
47
DELISTED
Aimfinity Investment Corp I Subunit
AIMBU
$312K 0.05%
29,700
+9,700
+49% +$101K
BOH icon
48
PUT
Bank of Hawaii
BOH
$3.14B
$309K 0.05%
7,500
+200
+3% +$8.85K
SPNT icon
49
PUT
SiriusPoint
SPNT
$3.03B
$295K 0.05%
+32,700
New +$299K
IGICW
50
DELISTED
International General Insurance Holdings Ltd. Warrants expiring 03/17/2025
IGICW
$294K 0.05%
480,509
-129,624
-21% -$75K
1
2
3 4 5

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SCM
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OCAM
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NPCM
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FSG
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Warberg Asset Management's Q2 2023 Portfolio in Review

As of Q2 2023, Warberg Asset Management held 314 positions worth $603M, up 19% from $507M the previous quarter. Its ten largest holdings account for 72% of the portfolio.

Warberg Asset Management withdrew a net $108M in Q2 2023, closing 75 positions and reducing 48 holdings. Its most notable exit was iShares Ultra Short Duration Bond Active ETF, an estimated $1.54M position sold in full.

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

Against the trend, Warberg Asset Management opened a new position in EPR Properties 5.75% Series C Preferred Shares worth $814K.

  • Warberg Asset Management's largest Q2 2023 buy was EPR Properties 5.75% Series C Preferred Shares: 38,600 shares worth $814K.
  • Warberg Asset Management added most to Hertz Global Holdings Warrants in Q2 2023, an estimated $1.67M increase.
  • Warberg Asset Management's biggest Q2 2023 reduction was Occidental Petroleum Corp Warrants, cutting an estimated $947K.
  • Warberg Asset Management fully exited iShares Ultra Short Duration Bond Active ETF in Q2 2023, selling an estimated $1.54M.
  • Warberg Asset Management's ten largest holdings make up 72% of its $603M portfolio in Q2 2023.
  • Warberg Asset Management opened 63 new positions and closed 75 in Q2 2023.
  • Warberg Asset Management's portfolio value rose 19% quarter-over-quarter to $603M.

Based on Warberg Asset Management's 13F filing for Q2 2023, filed 9 Aug 2023.