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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
+0.9%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$603M
AUM Growth
+$95.1M
Cap. Flow
-$108M
Cap. Flow %
-17.85%
Top 10 Hldgs %
72.31%
Holding
314
New
63
Increased
45
Reduced
48
Closed
75

Top Buys

Rank Stock Value
1
HTZWW
Hertz Global Holdings Warrants
HTZWW
+$1.67M
2
EPR.PRC icon
EPR Properties 5.75% Series C Preferred Shares
EPR.PRC
+$751K
3
EXEEL
Expand Energy Corp Class C Warrants
EXEEL
+$733K
4
HUDA
Hudson Acquisition I Corp. Common Stock
HUDA
+$718K
5
NEN icon
New England Realty Associates
NEN
+$675K

Top Sells

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
+$1.11M
3
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$947K
4
PXSAP
Pyxis Tankers Inc. 7.75% Series A Cumulative Convertible Preferred Shares
PXSAP
+$694K
5
OAKUU
Oak Woods Acquisition Corp Unit
OAKUU
+$663K

Sector Composition

Rank Sector Weight
1 Financials 1.39%
2 Technology 0.29%
3 Real Estate 0.27%
4 Industrials 0.17%
5 Energy 0.11%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MTUM icon
51
PUT
iShares MSCI USA Momentum Factor ETF
MTUM
$25.2B
$289K 0.05%
+2,000
New +$281K
LMBS icon
52
First Trust Exchange-Traded Fund IV First Trust Low Duration Opportunities ETF
LMBS
$6.35B
$277K 0.05%
+5,813
New +$279K
HOVR icon
53
New Horizon Aircraft
HOVR
$115M
$263K 0.04%
+25,300
New +$261K
JOBY.WS icon
54
Joby Aviation Warrants
JOBY.WS
$260K 0.04%
+98,000
New +$93.6K
EXEEZ
55
DELISTED
Expand Energy Corp Class B Warrants
EXEEZ
$253K 0.04%
+3,611
New +$239K
TBMC
56
DELISTED
Trailblazer Merger Corp I
TBMC
$231K 0.04%
+22,690
New +$230K
PLTN
57
DELISTED
Plutonian Acquisition Corp. Common Stock
PLTN
$231K 0.04%
22,196
+6,396
+40% +$66K
RIVN icon
58
CALL
Rivian
RIVN
$22.2B
$227K 0.04%
+13,600
New +$190K
ALSA
59
DELISTED
Alpha Star Acquisition Corp
ALSA
$226K 0.04%
21,103
– –
RNWWW
60
ReNew Energy Global PLC Warrant
RNWWW
$57.4K
$222K 0.04%
278,111
+208,497
+300% +$163K
AFAR
61
DELISTED
Aura FAT Projects Acquisition Corp Class A Ordinary Shares
AFAR
$215K 0.04%
20,361
-4,639
-19% -$49K
CMPOW
62
DELISTED
CompoSecure Inc Warrant
CMPOW
$214K 0.04%
203,563
-46,337
-19% -$56.9K
AMPX.WS icon
63
Amprius Technologies Warrants
AMPX.WS
$395M
$213K 0.04%
442,910
-101,306
-19% -$49.7K
NE.WS.A icon
64
Noble Corporation PLC Tranche 2 Warrants
NE.WS.A
$210K 0.03%
+8,422
New +$200K
ESHAU
65
DELISTED
ESH Acquisition Corp. Unit
ESHAU
$207K 0.03%
+20,455
New +$207K
VSAC
66
DELISTED
Vision Sensing Acquisition Corp. Class A Common Stock
VSAC
$189K 0.03%
17,677
-22,366
-56% -$237K
MBSC
67
DELISTED
M3-Brigade Acquisition III Corp.
MBSC
$185K 0.03%
+17,735
New +$184K
GLST
68
DELISTED
Global Star Acquisition, Inc. Class A Common Stock
GLST
$183K 0.03%
17,456
– –
SWN
69
CALL
DELISTED
Southwestern Energy Company
SWN
$180K 0.03%
30,000
-7,600
-20% -$39.2K
RFAC
70
DELISTED
RF Acquisition Corp. Class A Common Stock
RFAC
$178K 0.03%
+17,001
New +$176K
SURG icon
71
PUT
SurgePays
SURG
$5.28M
$164K 0.03%
22,400
-8,000
-26% -$47.7K
FTII
72
DELISTED
FutureTech II Acquisition Corp. Class A Common Stock
FTII
$157K 0.03%
+14,654
New +$155K
ROIVW
73
DELISTED
Roivant Sciences Ltd. Warrant
ROIVW
$148K 0.02%
+59,772
New +$118K
BYND icon
74
PUT
Beyond Meat
BYND
$299M
$130K 0.02%
10,000
-8,000
-44% -$102K
PUCK
75
DELISTED
Goal Acquisitions Corp. Common Stock
PUCK
$129K 0.02%
+12,414
New +$128K
1 2
3
4 5

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SCM
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NPCM
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Warberg Asset Management's Q2 2023 Portfolio in Review

As of Q2 2023, Warberg Asset Management held 314 positions worth $603M, up 19% from $507M the previous quarter. Its ten largest holdings account for 72% of the portfolio.

Warberg Asset Management withdrew a net $108M in Q2 2023, closing 75 positions and reducing 48 holdings. Its most notable exit was iShares Ultra Short Duration Bond Active ETF, an estimated $1.54M position sold in full.

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

Against the trend, Warberg Asset Management opened a new position in EPR Properties 5.75% Series C Preferred Shares worth $814K.

  • Warberg Asset Management's largest Q2 2023 buy was EPR Properties 5.75% Series C Preferred Shares: 38,600 shares worth $814K.
  • Warberg Asset Management added most to Hertz Global Holdings Warrants in Q2 2023, an estimated $1.67M increase.
  • Warberg Asset Management's biggest Q2 2023 reduction was Occidental Petroleum Corp Warrants, cutting an estimated $947K.
  • Warberg Asset Management fully exited iShares Ultra Short Duration Bond Active ETF in Q2 2023, selling an estimated $1.54M.
  • Warberg Asset Management's ten largest holdings make up 72% of its $603M portfolio in Q2 2023.
  • Warberg Asset Management opened 63 new positions and closed 75 in Q2 2023.
  • Warberg Asset Management's portfolio value rose 19% quarter-over-quarter to $603M.

Based on Warberg Asset Management's 13F filing for Q2 2023, filed 9 Aug 2023.