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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
+1.31%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$540M
AUM Growth
-$77.1M
Cap. Flow
-$263M
Cap. Flow %
-48.78%
Top 10 Hldgs %
59.86%
Holding
253
New
57
Increased
12
Reduced
52
Closed
53

Top Buys

Rank Stock Value
1
AVTR.PRA
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
+$15.3M
2
DHR.PRA
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
+$15.2M
3
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$3.64M
4
EXEEW
Expand Energy Corp Class A Warrants
EXEEW
+$3.52M
5
AVGOP
Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A
AVGOP
+$2.58M

Top Sells

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$1.93M
2
WSC icon
WillScot Mobile Mini Holdings
WSC
+$1.78M
3
NEE.PRP
NextEra Energy, Inc. 5.279% Corporate Units
NEE.PRP
+$1.53M
4
IEAWW
Infrastructure and Energy Alternatives, Inc. Warrant
IEAWW
+$1.51M
5
MUDS
Mudrick Capital Acquisition Corporation II Class A Common Stock
MUDS
+$1.39M

Sector Composition

Rank Sector Weight
1 Financials 0.5%
2 Consumer Discretionary 0.21%
3 Healthcare 0.2%
4 Technology 0.16%
5 Real Estate 0.06%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NBST
51
DELISTED
Newbury Street Acquisition Corporation Common Stock
NBST
$194K 0.04%
20,000
– –
RVNC
52
CALL
DELISTED
Revance Therapeutics, Inc.
RVNC
$178K 0.03%
+10,900
New +$182K
NSLR
53
Neostellar Capital Corp
NSLR
$269M
$174K 0.03%
13,398
-51,531
-79% -$678K
PTOC
54
DELISTED
Pine Technology Acquisition Corp. Class A Common Stock
PTOC
$172K 0.03%
17,502
– –
MLAC
55
DELISTED
Malacca Straits Acquisition Company Limited Class A Ordinary Shares
MLAC
$166K 0.03%
16,269
– –
GCMGW
56
DELISTED
GCM Grosvenor Inc Warrant
GCMGW
$164K 0.03%
109,001
-179,704
-62% -$323K
ALTU
57
DELISTED
Altitude Acquisition Corp
ALTU
$162K 0.03%
16,400
– –
MDAI icon
58
Spectral AI
MDAI
$49.3M
$158K 0.03%
16,077
– –
PSAG
59
DELISTED
Property Solutions Acquisition Corporation II Class A Common Stock
PSAG
$155K 0.03%
16,000
– –
CONX
60
DELISTED
CONX Corp. Class A Common Stock
CONX
$148K 0.03%
15,044
– –
DRAY
61
DELISTED
Macondray Capital Acquisition Corp. I Class A Ordinary Shares
DRAY
$148K 0.03%
15,000
– –
GAPA
62
DELISTED
G&P Acquisition Corp.
GAPA
$147K 0.03%
15,000
– –
MITA
63
DELISTED
Coliseum Acquisition Corp. Class A Ordinary Share
MITA
$146K 0.03%
15,000
– –
NG icon
64
CALL
NovaGold Resources
NG
$2.56B
$144K 0.03%
21,000
+5,300
+34% +$38.7K
GOEVW
65
DELISTED
Canoo Inc. Warrant
GOEVW
$143K 0.03%
69,588
+54,588
+364% +$133K
PMGM
66
DELISTED
Priveterra Acquisition Corp. II Class A Common Stock
PMGM
$143K 0.03%
14,500
– –
PEPL
67
DELISTED
PepperLime Health Acquisition Corporation Class A Ordinary Share
PEPL
$139K 0.03%
+14,136
New +$138K
BOXD.WS
68
DELISTED
Boxed, Inc. Warrants, each whole warrant exercisable to purchase one share of Common Stock at an exercise price of $11.50 per share
BOXD.WS
$139K 0.03%
+116,826
New +$106K
FOXO
69
DELISTED
FOXO TECHNOLOGIES INC A
FOXO
$134K 0.02%
68
– –
NXPLW
70
DELISTED
NextPlat Corp Warrants
NXPLW
$134K 0.02%
119,654
+103,654
+648% +$188K
SHAP.U
71
DELISTED
Spree Acquisition Corp. 1 Limited Units, each consisting of one Class A ordinary share and one-half of one redeemable warrant
SHAP.U
$130K 0.02%
+13,000
New +$130K
LSPRU
72
DELISTED
Larkspur Health Acquisition Corp. Unit
LSPRU
$120K 0.02%
+12,000
New +$120K
XPOA
73
DELISTED
DPCM Capital, Inc.
XPOA
$118K 0.02%
12,000
– –
ASAQ
74
DELISTED
Atlantic Avenue Acquisition Corp
ASAQ
$116K 0.02%
11,850
– –
NNAVW
75
DELISTED
NextNav Inc Warrant
NNAVW
$112K 0.02%
+66,000
New +$99.7K
1 2
3
4 5

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Warberg Asset Management's Q4 2021 Portfolio in Review

As of Q4 2021, Warberg Asset Management held 253 positions worth $540M, down 13% from $617M the previous quarter. Its ten largest holdings account for 60% of the portfolio.

Warberg Asset Management withdrew a net $263M in Q4 2021, closing 53 positions and reducing 52 holdings. Its most notable exit was Invesco QQQ Trust, an estimated $1.93M position sold in full.

By sector, the portfolio is most concentrated in Financials at 0.5% of assets, down from 0.58% a quarter earlier, followed by Consumer Discretionary and Healthcare.

Against the trend, Warberg Asset Management opened a new position in Avantor, Inc. Series A Mandatory Convertible Preferred Stock worth $16.3M.

  • Warberg Asset Management's largest Q4 2021 buy was Avantor, Inc. Series A Mandatory Convertible Preferred Stock: 126,255 shares worth $16.3M.
  • Warberg Asset Management added most to Expand Energy Corp Class A Warrants in Q4 2021, an estimated $3.52M increase.
  • Warberg Asset Management's biggest Q4 2021 reduction was Mudrick Capital Acquisition Corporation II Class A Common Stock, cutting an estimated $1.39M.
  • Warberg Asset Management fully exited Invesco QQQ Trust in Q4 2021, selling an estimated $1.93M.
  • Warberg Asset Management's ten largest holdings make up 60% of its $540M portfolio in Q4 2021.
  • Warberg Asset Management opened 57 new positions and closed 53 in Q4 2021.
  • Warberg Asset Management's portfolio value fell 13% quarter-over-quarter to $540M.

Based on Warberg Asset Management's 13F filing for Q4 2021, filed 14 Feb 2022.