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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
+0.84%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$301M
AUM Growth
-$107M
Cap. Flow
-$177M
Cap. Flow %
-58.87%
Top 10 Hldgs %
48.48%
Holding
214
New
39
Increased
18
Reduced
31
Closed
60

Top Buys

Rank Stock Value
1
GCMGW
GCM Grosvenor Inc Warrant
GCMGW
+$1.72M
2
IEAWW
Infrastructure and Energy Alternatives, Inc. Warrant
IEAWW
+$1.65M
3
SJIU
South Jersey Industries, Inc.
SJIU
+$1.34M
4
NSLR
Neostellar Capital Corp
NSLR
+$1.18M
5
TWNKW
Hostess Brands, Inc. Warrants
TWNKW
+$979K

Top Sells

Rank Stock Value
1
NCLH icon
Norwegian Cruise Line
NCLH
+$1.44M
2
PSTH
Pershing Square Tontine Holdings, Ltd.
PSTH
+$838K
3
GRWG icon
GrowGeneration
GRWG
+$603K
4
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$536K
5
ALTG.WS
Alta Equipment Group Warrants
ALTG.WS
+$369K

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 1.11%
2 Financials 0.72%
3 Technology 0.25%
4 Real Estate 0.1%
5 Healthcare 0.07%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SA
51
CALL
Seabridge Gold
SA
$2.84B
$162K 0.05%
10,000
– –
MLAC
52
DELISTED
Malacca Straits Acquisition Company Limited Class A Ordinary Shares
MLAC
$161K 0.05%
16,269
-3,131
-16% -$31.6K
RCLFU
53
DELISTED
Rosecliff Acquisition Corp I Unit
RCLFU
$159K 0.05%
+16,076
New +$162K
PSAGU
54
DELISTED
Property Solutions Acquisition Corporation II Units
PSAGU
$157K 0.05%
+16,000
New +$159K
SKT icon
55
CALL
Tanger
SKT
$4.68B
$151K 0.05%
10,000
-19,000
-66% -$280K
AMAOU
56
DELISTED
American Acquisition Opportunity Inc. Units
AMAOU
$150K 0.05%
+15,000
New +$149K
GAPA.U
57
DELISTED
G&P Acquisition Corp. Units, each consisting of one share of Class A common stock and one-half of one redeemable warrant
GAPA.U
$149K 0.05%
+15,000
New +$149K
PMGM
58
DELISTED
Priveterra Acquisition Corp. II Class A Common Stock
PMGM
$141K 0.05%
+14,500
New +$142K
BTRSW
59
DELISTED
BTRS Holdings Inc. Warrants
BTRSW
$138K 0.05%
+29,200
New +$162K
FOXO
60
DELISTED
FOXO TECHNOLOGIES INC A
FOXO
$131K 0.04%
+68
New +$135K
NFH.WS
61
DELISTED
New Frontier Health Corporation Warrants, each whole warrant exercisable for one Ordinary Share at a
NFH.WS
$128K 0.04%
54,313
– –
MAAC
62
DELISTED
Montes Archimedes Acquisition Corp. Class A Common Stock
MAAC
$126K 0.04%
12,850
-1,050
-8% -$10.7K
TMTS
63
DELISTED
Spartacus Acquisition Corporation Class A Common Stock
TMTS
$124K 0.04%
12,600
– –
AP.WS
64
DELISTED
Ampco-Pittsburgh Corp Series A Warrants
AP.WS
$117K 0.04%
88,700
-4,200
-5% -$5.32K
ASAQ
65
DELISTED
Atlantic Avenue Acquisition Corp
ASAQ
$115K 0.04%
11,850
-500
-4% -$5.06K
TONX
66
TON Strategy Co
TONX
$173M
$109K 0.04%
+10
New +$153K
ATSPU
67
DELISTED
Archimedes Tech SPAC Partners Co. Unit
ATSPU
$109K 0.04%
+11,000
New +$109K
PTK
68
DELISTED
PTK Acquisition Corp.
PTK
$105K 0.03%
10,677
-323
-3% -$3.28K
COMSW
69
DELISTED
COMSovereign Holding Corp. Warrants
COMSW
$90K 0.03%
+72,058
New +$102K
MUX icon
70
McEwen Inc
MUX
$1.07B
$83K 0.03%
8,000
-2,875
-26% -$31.5K
SHIP icon
71
Seanergy Maritime Holdings
SHIP
$394M
$80K 0.03%
+7,500
New +$85.9K
VATE icon
72
CALL
INNOVATE Corp
VATE
$99.6M
$79K 0.03%
2,000
– –
BXRX
73
CALL
DELISTED
Baudax Bio, Inc. Common Stock
BXRX
$75K 0.02%
41
-4
-9% -$8K
ASM
74
Avino Silver & Gold Mines
ASM
$969M
$70K 0.02%
+56,242
New +$74.7K
BCTXW
75
DELISTED
BriaCell Therapeutics Corp Warrant
BCTXW
$64K 0.02%
+59,400
New +$58.1K
1 2
3
4 5

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Warberg Asset Management's Q1 2021 Portfolio in Review

As of Q1 2021, Warberg Asset Management held 214 positions worth $301M, down 26% from $408M the previous quarter. Its ten largest holdings account for 48% of the portfolio.

Warberg Asset Management withdrew a net $177M in Q1 2021, closing 60 positions and reducing 31 holdings. Its most notable exit was Norwegian Cruise Line, an estimated $1.44M position sold in full.

By sector, the portfolio is most concentrated in Consumer Discretionary at 1.1% of assets, down from 1.3% a quarter earlier, followed by Financials and Technology.

Against the trend, Warberg Asset Management opened a new position in South Jersey Industries, Inc. worth $1.28M.

  • Warberg Asset Management's largest Q1 2021 buy was South Jersey Industries, Inc.: 33,225 shares worth $1.28M.
  • Warberg Asset Management added most to GCM Grosvenor Inc Warrant in Q1 2021, an estimated $1.72M increase.
  • Warberg Asset Management's biggest Q1 2021 reduction was Pershing Square Tontine Holdings, Ltd., cutting an estimated $838K.
  • Warberg Asset Management fully exited Norwegian Cruise Line in Q1 2021, selling an estimated $1.44M.
  • Warberg Asset Management's ten largest holdings make up 48% of its $301M portfolio in Q1 2021.
  • Warberg Asset Management opened 39 new positions and closed 60 in Q1 2021.
  • Warberg Asset Management's portfolio value fell 26% quarter-over-quarter to $301M.

Based on Warberg Asset Management's 13F filing for Q1 2021, filed 17 May 2021.