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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
+1.57%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$617M
AUM Growth
+$101M
Cap. Flow
-$159M
Cap. Flow %
-25.85%
Top 10 Hldgs %
61.15%
Holding
231
New
51
Increased
29
Reduced
33
Closed
34

Top Buys

Rank Stock Value
1
EXEEW
Expand Energy Corp Class A Warrants
EXEEW
+$3.67M
2
MUDS
Mudrick Capital Acquisition Corporation II Class A Common Stock
MUDS
+$2.21M
3
QQQ icon
Invesco QQQ Trust
QQQ
+$1.84M
4
PAVMZ
PAVmed Inc. Series Z Warrant
PAVMZ
+$1.82M
5
NEE.PRP
NextEra Energy, Inc. 5.279% Corporate Units
NEE.PRP
+$1.57M

Top Sells

Rank Stock Value
1
TWNKW
Hostess Brands, Inc. Warrants
TWNKW
+$5.03M
2
WSC icon
WillScot Mobile Mini Holdings
WSC
+$2.17M
3
CFXA
Colfax Corporation 5.75% Tangible Equity Units
CFXA
+$1.25M
4
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$907K
5
POL.WS
Polished.com Inc. Warrants to Purchase Common Stock
POL.WS
+$478K

Sector Composition

Rank Sector Weight
1 Financials 0.58%
2 Consumer Discretionary 0.44%
3 Industrials 0.35%
4 Technology 0.13%
5 Real Estate 0.12%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FPAC
51
DELISTED
Far Peak Acquisition Corporation
FPAC
$198K 0.03%
19,900
– –
GACQ
52
DELISTED
Global Consumer Acquisition Corp. Common Stock
GACQ
$198K 0.03%
+20,000
New +$196K
QNGY
53
DELISTED
Quanergy Systems, Inc.
QNGY
$198K 0.03%
995
– –
NBST
54
DELISTED
Newbury Street Acquisition Corporation Common Stock
NBST
$194K 0.03%
20,000
– –
CLVRW
55
DELISTED
Clever Leaves Holdings Inc. Warrant
CLVRW
$187K 0.03%
167,350
+78,791
+89% +$128K
GROMW
56
DELISTED
Grom Social Enterprises Inc. Warrants
GROMW
$184K 0.03%
5,370
+2,357
+78% +$65.6K
PTOC
57
DELISTED
Pine Technology Acquisition Corp. Class A Common Stock
PTOC
$169K 0.03%
17,502
– –
MLAC
58
DELISTED
Malacca Straits Acquisition Company Limited Class A Ordinary Shares
MLAC
$162K 0.03%
16,269
– –
ALTU
59
DELISTED
Altitude Acquisition Corp
ALTU
$161K 0.03%
16,400
– –
MDAI icon
60
Spectral AI
MDAI
$49.3M
$156K 0.03%
16,077
– –
PSAG
61
DELISTED
Property Solutions Acquisition Corporation II Class A Common Stock
PSAG
$155K 0.03%
16,000
– –
DRAY
62
DELISTED
Macondray Capital Acquisition Corp. I Class A Ordinary Shares
DRAY
$148K 0.02%
+15,000
New +$147K
GAPA
63
DELISTED
G&P Acquisition Corp.
GAPA
$148K 0.02%
15,000
– –
TWNKW
64
DELISTED
Hostess Brands, Inc. Warrants
TWNKW
$148K 0.02%
49,603
-2,083,802
-98% -$5.03M
CONX
65
DELISTED
CONX Corp. Class A Common Stock
CONX
$147K 0.02%
15,044
– –
PIPP
66
DELISTED
Pine Island Acquisition Corp.
PIPP
$146K 0.02%
15,000
– –
PTIXW
67
DELISTED
Protagenic Therapeutics Warrant
PTIXW
$143K 0.02%
364,791
-999
-0.3% -$526
PMGM
68
DELISTED
Priveterra Acquisition Corp. II Class A Common Stock
PMGM
$143K 0.02%
14,500
– –
WKSPW
69
DELISTED
Worksport, Ltd. Warrant
WKSPW
$134K 0.02%
+73,000
New +$105K
FOXO
70
DELISTED
FOXO TECHNOLOGIES INC A
FOXO
$133K 0.02%
68
– –
BCTXW
71
DELISTED
BriaCell Therapeutics Corp Warrant
BCTXW
$130K 0.02%
27,000
-5,000
-16% -$12.3K
SDS icon
72
ProShares UltraShort S&P500
SDS
$418M
$124K 0.02%
560
-440
-44% -$93.3K
XPOA
73
DELISTED
DPCM Capital, Inc.
XPOA
$117K 0.02%
12,000
– –
ASAQ
74
DELISTED
Atlantic Avenue Acquisition Corp
ASAQ
$116K 0.02%
11,850
– –
GSDWU
75
DELISTED
Global Systems Dynamics, Inc. Unit
GSDWU
$115K 0.02%
+11,329
New +$114K
1 2
3
4 5

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NPCM
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FSG
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CIG
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Warberg Asset Management's Q3 2021 Portfolio in Review

As of Q3 2021, Warberg Asset Management held 231 positions worth $617M, up 20% from $516M the previous quarter. Its ten largest holdings account for 61% of the portfolio.

Warberg Asset Management withdrew a net $159M in Q3 2021, closing 34 positions and reducing 33 holdings. Its most notable exit was Colfax Corporation 5.75% Tangible Equity Units, an estimated $1.25M position sold in full.

By sector, the portfolio is most concentrated in Financials at 0.58% of assets, down from 0.64% a quarter earlier, followed by Consumer Discretionary and Industrials.

Against the trend, Warberg Asset Management opened a new position in Expand Energy Corp Class A Warrants worth $4.29M.

  • Warberg Asset Management's largest Q3 2021 buy was Expand Energy Corp Class A Warrants: 118,000 shares worth $4.29M.
  • Warberg Asset Management added most to Mudrick Capital Acquisition Corporation II Class A Common Stock in Q3 2021, an estimated $2.21M increase.
  • Warberg Asset Management's biggest Q3 2021 reduction was Hostess Brands, Inc. Warrants, cutting an estimated $5.03M.
  • Warberg Asset Management fully exited Colfax Corporation 5.75% Tangible Equity Units in Q3 2021, selling an estimated $1.25M.
  • Warberg Asset Management's ten largest holdings make up 61% of its $617M portfolio in Q3 2021.
  • Warberg Asset Management opened 51 new positions and closed 34 in Q3 2021.
  • Warberg Asset Management's portfolio value rose 20% quarter-over-quarter to $617M.

Based on Warberg Asset Management's 13F filing for Q3 2021, filed 15 Nov 2021.