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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
-1.72%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$455M
AUM Growth
-$194M
Cap. Flow
-$241M
Cap. Flow %
-52.97%
Top 10 Hldgs %
59.59%
Holding
296
New
69
Increased
53
Reduced
33
Closed
45

Top Buys

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$6.55M
2
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$6.29M
3
EXEEL
Expand Energy Corp Class C Warrants
EXEEL
+$6.04M
4
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$2.45M
5
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$2.27M

Top Sells

Rank Stock Value
1
DHR.PRA
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
+$26.2M
2
AVTR.PRA
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
+$13.4M
3
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$1.85M
4
SABRP
Sabre Corporation 6.50% Series A Mandatory Convertible Preferred Stock
SABRP
+$763K
5
RCA
Ready Capital Corporation 7.00% Convertible Senior Notes due 2023
RCA
+$743K

Sector Composition

Rank Sector Weight
1 Financials 0.95%
2 Real Estate 0.3%
3 Utilities 0.29%
4 Healthcare 0.2%
5 Technology 0.19%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FGMC
51
DELISTED
FG Merger Corp. Common Stock
FGMC
$220K 0.05%
+22,068
New +$220K
REV
52
PUT
DELISTED
Revlon, Inc.
REV
$217K 0.05%
+40,000
New +$219K
NRAC
53
DELISTED
Northern Revival Acquisition Corporation Class A Ordinary Share
NRAC
$209K 0.05%
21,324
– –
SBEV.WS
54
DELISTED
Splash Beverage Group, Inc. Warrants to purchase 1/40th of a share of Common Stock at an exercise price of $184.00
SBEV.WS
$208K 0.05%
288,878
-10,400
-3% -$6.61K
EVGR
55
DELISTED
Evergreen Corporation Class A Ordinary Share
EVGR
$206K 0.05%
+20,636
New +$206K
AIMBU
56
DELISTED
Aimfinity Investment Corp I Subunit
AIMBU
$197K 0.04%
+20,000
New +$197K
NBST
57
DELISTED
Newbury Street Acquisition Corporation Common Stock
NBST
$195K 0.04%
20,000
– –
UNG icon
58
United States Natural Gas Fund
UNG
$454M
$190K 0.04%
+2,500
New +$258K
POL.WS
59
DELISTED
Polished.com Inc. Warrants to Purchase Common Stock
POL.WS
$179K 0.04%
+689,514
New +$297K
DECA
60
DELISTED
Denali Capital Acquisition Corp. Class A Ordinary Shares
DECA
$174K 0.04%
+17,500
New +$174K
PTOC
61
DELISTED
Pine Technology Acquisition Corp. Class A Common Stock
PTOC
$172K 0.04%
17,502
– –
PEPL
62
DELISTED
PepperLime Health Acquisition Corporation Class A Ordinary Share
PEPL
$170K 0.04%
31,279
-26,633
-46% -$263K
GENQ
63
DELISTED
Genesis Unicorn Capital Corp. Class A Common Stock
GENQ
$170K 0.04%
+17,043
New +$169K
MDAI icon
64
Spectral AI
MDAI
$50.3M
$158K 0.03%
16,077
– –
PSAG
65
DELISTED
Property Solutions Acquisition Corporation II Class A Common Stock
PSAG
$157K 0.03%
16,000
– –
PNST
66
DELISTED
Pinstripes Holdings, Inc.
PNST
$149K 0.03%
15,000
– –
CONX
67
DELISTED
CONX Corp. Class A Common Stock
CONX
$149K 0.03%
15,044
– –
DRAY
68
DELISTED
Macondray Capital Acquisition Corp. I Class A Ordinary Shares
DRAY
$149K 0.03%
15,000
– –
MITA
69
DELISTED
Coliseum Acquisition Corp. Class A Ordinary Share
MITA
$146K 0.03%
15,000
– –
PMGM
70
DELISTED
Priveterra Acquisition Corp. II Class A Common Stock
PMGM
$144K 0.03%
14,500
– –
DKNG icon
71
PUT
DraftKings
DKNG
$11.8B
$140K 0.03%
+12,000
New +$169K
FGNX
72
FG Nexus Inc
FGNX
$43.7M
$138K 0.03%
+758
New +$260K
BMTX.WS
73
DELISTED
BM Technologies, Inc. Warrants, each warrant exercisable for one share of Common Stock at an exercise price of $11.50
BMTX.WS
$122K 0.03%
247,145
+10,730
+5% +$9.24K
NXPLW
74
DELISTED
NextPlat Corp Warrants
NXPLW
$119K 0.03%
134,172
+35,703
+36% +$30.8K
ZVSA
75
DELISTED
ZyVersa Therapeutics
ZVSA
$119K 0.03%
34
– –
1 2
3
4 5

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Warberg Asset Management's Q2 2022 Portfolio in Review

As of Q2 2022, Warberg Asset Management held 296 positions worth $455M, down 30% from $649M the previous quarter. Its ten largest holdings account for 60% of the portfolio.

Warberg Asset Management withdrew a net $241M in Q2 2022, closing 45 positions and reducing 33 holdings. Its most notable exit was Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A, an estimated $26.2M position sold in full.

By sector, the portfolio is most concentrated in Financials at 0.95% of assets, up from 0.47% a quarter earlier, followed by Real Estate and Utilities.

Against the trend, Warberg Asset Management opened a new position in State Street SPDR S&P 500 ETF Trust worth $6.04M.

  • Warberg Asset Management's largest Q2 2022 buy was State Street SPDR S&P 500 ETF Trust: 16,000 shares worth $6.04M.
  • Warberg Asset Management added most to Occidental Petroleum Corp Warrants in Q2 2022, an estimated $6.29M increase.
  • Warberg Asset Management's biggest Q2 2022 reduction was The Southern Company, cutting an estimated $555K.
  • Warberg Asset Management fully exited Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A in Q2 2022, selling an estimated $26.2M.
  • Warberg Asset Management's ten largest holdings make up 60% of its $455M portfolio in Q2 2022.
  • Warberg Asset Management opened 69 new positions and closed 45 in Q2 2022.
  • Warberg Asset Management's portfolio value fell 30% quarter-over-quarter to $455M.

Based on Warberg Asset Management's 13F filing for Q2 2022, filed 11 Aug 2022.