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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
+0.3%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$507M
AUM Growth
-$131M
Cap. Flow
-$367M
Cap. Flow %
-72.27%
Top 10 Hldgs %
67.23%
Holding
329
New
60
Increased
39
Reduced
52
Closed
80

Top Buys

Rank Stock Value
1
ICSH icon
iShares Ultra Short Duration Bond Active ETF
ICSH
+$1.54M
2
APTV.PRA
Aptiv PLC 5.50% Series A Mandatory Convertible Preferred Shares
APTV.PRA
+$1.12M
3
OAKUU
Oak Woods Acquisition Corp Unit
OAKUU
+$663K
4
MAQC
Maquia Capital Acquisition Corporation Class A Common Stock
MAQC
+$595K
5
FLOT icon
iShares Floating Rate Bond ETF
FLOT
+$534K

Top Sells

Rank Stock Value
1
SJIV
South Jersey Industries, Inc. Corporate Units
SJIV
+$10.7M
2
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$4.92M
3
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$3.75M
4
QQQ icon
Invesco QQQ Trust
QQQ
+$1.62M
5
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$1.62M

Sector Composition

Rank Sector Weight
1 Financials 1.37%
2 Technology 0.4%
3 Industrials 0.23%
4 Consumer Discretionary 0.22%
5 Real Estate 0.18%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
AGI icon
51
CALL
Alamos Gold
AGI
$12.1B
$306K 0.06%
25,000
– –
FXCO
52
DELISTED
Financial Strategies Acquisition Corp. Class A Common Stock
FXCO
$306K 0.06%
+29,000
New +$303K
CMPOW
53
DELISTED
CompoSecure Inc Warrant
CMPOW
$295K 0.06%
+249,900
New +$295K
MSTR icon
54
PUT
Strategy Inc
MSTR
$35.3B
$292K 0.06%
10,000
-20,000
-67% -$488K
BYND icon
55
PUT
Beyond Meat
BYND
$330M
$292K 0.06%
18,000
+1,000
+6% +$16.5K
BMAQ
56
DELISTED
Blockchain Moon Acquisition Corp. Common Stock
BMAQ
$290K 0.06%
+27,379
New +$286K
AMPX.WS icon
57
Amprius Technologies Warrants
AMPX.WS
$485M
$272K 0.05%
544,216
+225,148
+71% +$72.6K
AIEV
58
DELISTED
Thunder Power Holdings, Inc. Common Stock
AIEV
$270K 0.05%
25,900
+1,000
+4% +$10.3K
SCHW
59
CALL
Charles Schwab
SCHW
$185B
$262K 0.05%
+5,000
New +$366K
AFAR
60
DELISTED
Aura FAT Projects Acquisition Corp Class A Ordinary Shares
AFAR
$261K 0.05%
25,000
– –
PTHRU
61
DELISTED
Pono Capital Three, Inc. Unit
PTHRU
$260K 0.05%
+25,300
New +$258K
XLF icon
62
State Street Financial Select Sector SPDR ETF
XLF
$58.6B
$257K 0.05%
+8,000
New +$278K
PGRW
63
DELISTED
Progress Acquisition Corp. Class A Common Stock
PGRW
$249K 0.05%
23,570
+6,600
+39% +$68.3K
SHAP
64
DELISTED
Spree Acquisition Corp. 1 Limited
SHAP
$245K 0.05%
23,494
+5,781
+33% +$59.9K
MOBV
65
DELISTED
Mobiv Acquisition Corp Class A Common Stock
MOBV
$237K 0.05%
22,750
– –
FGMC
66
DELISTED
FG Merger Corp. Common Stock
FGMC
$231K 0.05%
22,159
+91
+0.4% +$940
HCMA
67
DELISTED
HCM Acquisition Corp Class A Ordinary Shares
HCMA
$230K 0.05%
+22,000
New +$228K
ALSA
68
DELISTED
Alpha Star Acquisition Corp
ALSA
$221K 0.04%
21,103
– –
MLAC
69
DELISTED
Malacca Straits Acquisition Company Limited Class A Ordinary Shares
MLAC
$221K 0.04%
20,862
-10,027
-32% -$105K
CIIG
70
DELISTED
CIIG Capital Partners II, Inc. Class A Common Stock
CIIG
$208K 0.04%
20,000
– –
FLRN icon
71
State Street SPDR Bloomberg Investment Grade Floating Rate ETF
FLRN
$3.08B
$206K 0.04%
6,775
-825
-11% -$25.1K
AIMBU
72
DELISTED
Aimfinity Investment Corp I Subunit
AIMBU
$202K 0.04%
20,000
– –
HCNE
73
DELISTED
Jaws Hurricane Acquisition Corp. Class A Common Stock
HCNE
$202K 0.04%
19,821
+8,745
+79% +$88.2K
FEXD
74
DELISTED
Fintech Ecosystem Development Corp. Class A Common Stock
FEXD
$194K 0.04%
18,401
+1,793
+11% +$18.6K
SWN
75
CALL
DELISTED
Southwestern Energy Company
SWN
$188K 0.04%
37,600
– –
1 2
3
4 5

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NPCM
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Warberg Asset Management's Q1 2023 Portfolio in Review

As of Q1 2023, Warberg Asset Management held 329 positions worth $507M, down 21% from $638M the previous quarter. Its ten largest holdings account for 67% of the portfolio.

Warberg Asset Management withdrew a net $367M in Q1 2023, closing 80 positions and reducing 52 holdings. Its most notable exit was South Jersey Industries, Inc. Corporate Units, an estimated $10.7M position sold in full.

By sector, the portfolio is most concentrated in Financials at 1.4% of assets, up from 1.2% a quarter earlier, followed by Technology and Industrials.

Against the trend, Warberg Asset Management opened a new position in iShares Ultra Short Duration Bond Active ETF worth $1.54M.

  • Warberg Asset Management's largest Q1 2023 buy was iShares Ultra Short Duration Bond Active ETF: 30,744 shares worth $1.54M.
  • Warberg Asset Management added most to Expand Energy Corp Class A Warrants in Q1 2023, an estimated $481K increase.
  • Warberg Asset Management's biggest Q1 2023 reduction was Occidental Petroleum Corp Warrants, cutting an estimated $3.75M.
  • Warberg Asset Management fully exited South Jersey Industries, Inc. Corporate Units in Q1 2023, selling an estimated $10.7M.
  • Warberg Asset Management's ten largest holdings make up 67% of its $507M portfolio in Q1 2023.
  • Warberg Asset Management opened 60 new positions and closed 80 in Q1 2023.
  • Warberg Asset Management's portfolio value fell 21% quarter-over-quarter to $507M.

Based on Warberg Asset Management's 13F filing for Q1 2023, filed 15 May 2023.