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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
+18.18%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$649M
AUM Growth
+$110M
Cap. Flow
-$127M
Cap. Flow %
-19.49%
Top 10 Hldgs %
64.55%
Holding
273
New
75
Increased
52
Reduced
26
Closed
44

Top Buys

Rank Stock Value
1
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$19M
2
DHR.PRA
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
+$11.6M
3
EXEEW
Expand Energy Corp Class A Warrants
EXEEW
+$7.15M
4
EXEEL
Expand Energy Corp Class C Warrants
EXEEL
+$5.78M
5
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$2.53M

Top Sells

Rank Stock Value
1
WTRU
Essential Utilities, Inc.6.00% Tangible Equity Units
WTRU
+$2.62M
2
AVGOP
Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A
AVGOP
+$2.49M
3
NEE.PRO
NextEra Energy, Inc. 4.872% Corporate Units
NEE.PRO
+$2.03M
4
SABRP
Sabre Corporation 6.50% Series A Mandatory Convertible Preferred Stock
SABRP
+$912K
5
IIVI
Coherent Corp. 6.00% Series A Mandatory Convertible Preferred Stock
IIVI
+$640K

Sector Composition

Rank Sector Weight
1 Financials 0.47%
2 Consumer Discretionary 0.36%
3 Real Estate 0.19%
4 Utilities 0.19%
5 Healthcare 0.18%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NBST
51
DELISTED
Newbury Street Acquisition Corporation Common Stock
NBST
$195K 0.03%
20,000
– –
CTLP
52
CALL
DELISTED
Cantaloupe
CTLP
$193K 0.03%
28,500
-4,700
-14% -$35.7K
GENQU
53
DELISTED
Genesis Unicorn Capital Corp. Unit
GENQU
$188K 0.03%
+18,744
New +$187K
SA
54
CALL
Seabridge Gold
SA
$2.96B
$185K 0.03%
+10,000
New +$170K
PAVMZ
55
DELISTED
PAVmed Inc. Series Z Warrant
PAVMZ
$172K 0.03%
227,299
-112,218
-33% -$115K
PTOC
56
DELISTED
Pine Technology Acquisition Corp. Class A Common Stock
PTOC
$171K 0.03%
17,502
– –
GACQ
57
DELISTED
Global Consumer Acquisition Corp. Common Stock
GACQ
$171K 0.03%
17,100
-2,900
-15% -$28.9K
ALTU
58
DELISTED
Altitude Acquisition Corp
ALTU
$163K 0.03%
16,400
– –
KLR.WS
59
DELISTED
Kaleyra, Inc. Warrants, each whole Warrant exercisable for one share of Common Stock at an exercise price of $40.25 per share
KLR.WS
$160K 0.02%
168,111
-14,159
-8% -$22.3K
NVTA
60
CALL
DELISTED
Invitae Corporation
NVTA
$159K 0.02%
+20,000
New +$201K
MDAI icon
61
Spectral AI
MDAI
$52.5M
$157K 0.02%
16,077
– –
PSAG
62
DELISTED
Property Solutions Acquisition Corporation II Class A Common Stock
PSAG
$156K 0.02%
16,000
– –
DSKE
63
DELISTED
Daseke, Inc. Common Stock
DSKE
$151K 0.02%
+15,000
New +$163K
PNST
64
DELISTED
Pinstripes Holdings, Inc.
PNST
$149K 0.02%
+15,000
New +$149K
CONX
65
DELISTED
CONX Corp. Class A Common Stock
CONX
$148K 0.02%
15,044
– –
DRAY
66
DELISTED
Macondray Capital Acquisition Corp. I Class A Ordinary Shares
DRAY
$148K 0.02%
15,000
– –
MITA
67
DELISTED
Coliseum Acquisition Corp. Class A Ordinary Share
MITA
$146K 0.02%
15,000
– –
PMGM
68
DELISTED
Priveterra Acquisition Corp. II Class A Common Stock
PMGM
$144K 0.02%
14,500
– –
GCMGW
69
DELISTED
GCM Grosvenor Inc Warrant
GCMGW
$137K 0.02%
98,141
-10,860
-10% -$13.2K
RENO
70
DELISTED
Renovare Environmental, Inc. Common Stock
RENO
$137K 0.02%
+250,000
New +$138K
VEV
71
DELISTED
Vicinity Motor Corp. Common Stock
VEV
$135K 0.02%
56,239
+37,738
+204% +$126K
FOXO
72
DELISTED
FOXO TECHNOLOGIES INC A
FOXO
$134K 0.02%
68
– –
NXPLW
73
DELISTED
NextPlat Corp Warrants
NXPLW
$133K 0.02%
98,469
-21,185
-18% -$33.5K
ZVSA
74
DELISTED
ZyVersa Therapeutics
ZVSA
$119K 0.02%
+34
New +$118K
XPOA
75
DELISTED
DPCM Capital, Inc.
XPOA
$119K 0.02%
12,000
– –
1 2
3
4 5

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Warberg Asset Management's Q1 2022 Portfolio in Review

As of Q1 2022, Warberg Asset Management held 273 positions worth $649M, up 20% from $540M the previous quarter. Its ten largest holdings account for 65% of the portfolio.

Warberg Asset Management withdrew a net $127M in Q1 2022, closing 44 positions and reducing 26 holdings. Its most notable exit was Essential Utilities, Inc.6.00% Tangible Equity Units, an estimated $2.62M position sold in full.

By sector, the portfolio is most concentrated in Financials at 0.47% of assets, down from 0.5% a quarter earlier, followed by Consumer Discretionary and Real Estate.

Against the trend, Warberg Asset Management opened a new position in iShares 20+ Year Treasury Bond ETF worth $1.85M.

  • Warberg Asset Management's largest Q1 2022 buy was iShares 20+ Year Treasury Bond ETF: 14,000 shares worth $1.85M.
  • Warberg Asset Management added most to Occidental Petroleum Corp Warrants in Q1 2022, an estimated $19M increase.
  • Warberg Asset Management's biggest Q1 2022 reduction was Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A, cutting an estimated $2.49M.
  • Warberg Asset Management fully exited Essential Utilities, Inc.6.00% Tangible Equity Units in Q1 2022, selling an estimated $2.62M.
  • Warberg Asset Management's ten largest holdings make up 65% of its $649M portfolio in Q1 2022.
  • Warberg Asset Management opened 75 new positions and closed 44 in Q1 2022.
  • Warberg Asset Management's portfolio value rose 20% quarter-over-quarter to $649M.

Based on Warberg Asset Management's 13F filing for Q1 2022, filed 13 May 2022.