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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
+1.52%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$638M
AUM Growth
+$60.1M
Cap. Flow
-$164M
Cap. Flow %
-25.73%
Top 10 Hldgs %
75.41%
Holding
356
New
64
Increased
35
Reduced
46
Closed
83

Top Buys

Rank Stock Value
1
SJIV
South Jersey Industries, Inc. Corporate Units
SJIV
+$9.41M
2
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$1.65M
3
HTZWW
Hertz Global Holdings Warrants
HTZWW
+$724K
4
ELAT
Elanco Animal Health Incorporated 5.00% Tangible Equity Units
ELAT
+$712K
5
PXSAP
Pyxis Tankers Inc. 7.75% Series A Cumulative Convertible Preferred Shares
PXSAP
+$691K

Top Sells

Rank Stock Value
1
EXEEW
Expand Energy Corp Class A Warrants
EXEEW
+$34.5M
2
EXEEL
Expand Energy Corp Class C Warrants
EXEEL
+$24.2M
3
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$18.5M
4
QQQ icon
Invesco QQQ Trust
QQQ
+$8.3M
5
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$8.07M

Sector Composition

Rank Sector Weight
1 Financials 1.2%
2 Technology 0.39%
3 Real Estate 0.28%
4 Healthcare 0.22%
5 Industrials 0.17%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
AMPX icon
51
CALL
Amprius Technologies
AMPX
$1.44B
$317K 0.05%
+40,000
New +$367K
MLAC
52
DELISTED
Malacca Straits Acquisition Company Limited Class A Ordinary Shares
MLAC
$316K 0.05%
+30,889
New +$316K
MINT icon
53
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
MINT
$17B
$306K 0.05%
+3,100
New +$306K
TLT icon
54
iShares 20+ Year Treasury Bond ETF
TLT
$41.4B
$299K 0.05%
+3,000
New +$302K
VRIG icon
55
Invesco Variable Rate Investment Grade ETF
VRIG
$1.83B
$296K 0.05%
+11,998
New +$296K
GDST
56
DELISTED
Goldenstone Acquisition Limited Common Stock
GDST
$284K 0.04%
27,823
– –
AFAR
57
DELISTED
Aura FAT Projects Acquisition Corp Class A Ordinary Shares
AFAR
$256K 0.04%
25,000
– –
AIEV
58
DELISTED
Thunder Power Holdings, Inc. Common Stock
AIEV
$253K 0.04%
24,900
– –
AGI icon
59
CALL
Alamos Gold
AGI
$11.8B
$253K 0.04%
+25,000
New +$220K
FLTR icon
60
VanEck IG Floating Rate ETF
FLTR
$2.97B
$250K 0.04%
+10,046
New +$249K
JPST icon
61
JPMorgan Ultra-Short Income ETF
JPST
$40.3B
$238K 0.04%
+4,752
New +$238K
MOBV
62
DELISTED
Mobiv Acquisition Corp Class A Common Stock
MOBV
$234K 0.04%
22,750
– –
FLRN icon
63
State Street SPDR Bloomberg Investment Grade Floating Rate ETF
FLRN
$3.08B
$231K 0.04%
+7,600
New +$230K
BNIX
64
DELISTED
Bannix Acquisition Corp. Common Stock
BNIX
$229K 0.04%
22,500
– –
FGMC
65
DELISTED
FG Merger Corp. Common Stock
FGMC
$225K 0.04%
22,068
– –
ABX
66
Abacus Global Management
ABX
$1.01B
$222K 0.03%
+21,809
New +$220K
SWN
67
CALL
DELISTED
Southwestern Energy Company
SWN
$220K 0.03%
37,600
+5,000
+15% +$32.9K
SABS icon
68
SAB Biotherapeutics
SABS
$277M
$219K 0.03%
+37,037
New +$339K
ALSA
69
DELISTED
Alpha Star Acquisition Corp
ALSA
$216K 0.03%
21,103
– –
NRAC
70
DELISTED
Northern Revival Acquisition Corporation Class A Ordinary Share
NRAC
$215K 0.03%
21,324
– –
EVGR
71
DELISTED
Evergreen Corporation Class A Ordinary Share
EVGR
$212K 0.03%
20,636
– –
BYND icon
72
PUT
Beyond Meat
BYND
$312M
$209K 0.03%
+17,000
New +$237K
JTAI icon
73
Jet.AI
JTAI
$2.87M
– –
-1
Closed -$461K
NBST
74
DELISTED
Newbury Street Acquisition Corporation Common Stock
NBST
$208K 0.03%
20,730
– –
CIIG
75
DELISTED
CIIG Capital Partners II, Inc. Class A Common Stock
CIIG
$204K 0.03%
+20,000
New +$201K
1 2
3
4 5

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BHPW
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CCP
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SCM
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OCAM
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NPCM
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FSG
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CIG
Capricorn Investment Group Palo Alto, California $602M AUM 165.22% 1-Year Est. Return

Warberg Asset Management's Q4 2022 Portfolio in Review

As of Q4 2022, Warberg Asset Management held 356 positions worth $638M, up 10% from $578M the previous quarter. Its ten largest holdings account for 75% of the portfolio.

Warberg Asset Management withdrew a net $164M in Q4 2022, closing 83 positions and reducing 46 holdings. Its most notable exit was Expand Energy Corp Class B Warrants, an estimated $18.5M position sold in full.

By sector, the portfolio is most concentrated in Financials at 1.2% of assets, down from 1.5% a quarter earlier, followed by Technology and Real Estate.

Against the trend, Warberg Asset Management opened a new position in Janus Henderson Short Duration Income ETF worth $1.62M.

  • Warberg Asset Management's largest Q4 2022 buy was Janus Henderson Short Duration Income ETF: 34,175 shares worth $1.62M.
  • Warberg Asset Management added most to South Jersey Industries, Inc. Corporate Units in Q4 2022, an estimated $9.41M increase.
  • Warberg Asset Management's biggest Q4 2022 reduction was Expand Energy Corp Class A Warrants, cutting an estimated $34.5M.
  • Warberg Asset Management fully exited Expand Energy Corp Class B Warrants in Q4 2022, selling an estimated $18.5M.
  • Warberg Asset Management's ten largest holdings make up 75% of its $638M portfolio in Q4 2022.
  • Warberg Asset Management opened 64 new positions and closed 83 in Q4 2022.
  • Warberg Asset Management's portfolio value rose 10% quarter-over-quarter to $638M.

Based on Warberg Asset Management's 13F filing for Q4 2022, filed 13 Feb 2023.