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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
+0.84%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$301M
AUM Growth
-$107M
Cap. Flow
-$177M
Cap. Flow %
-58.87%
Top 10 Hldgs %
48.48%
Holding
214
New
39
Increased
18
Reduced
31
Closed
60

Top Buys

Rank Stock Value
1
GCMGW
GCM Grosvenor Inc Warrant
GCMGW
+$1.72M
2
IEAWW
Infrastructure and Energy Alternatives, Inc. Warrant
IEAWW
+$1.65M
3
SJIU
South Jersey Industries, Inc.
SJIU
+$1.34M
4
NSLR
Neostellar Capital Corp
NSLR
+$1.18M
5
TWNKW
Hostess Brands, Inc. Warrants
TWNKW
+$979K

Top Sells

Rank Stock Value
1
NCLH icon
Norwegian Cruise Line
NCLH
+$1.44M
2
PSTH
Pershing Square Tontine Holdings, Ltd.
PSTH
+$838K
3
GRWG icon
GrowGeneration
GRWG
+$603K
4
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$536K
5
ALTG.WS
Alta Equipment Group Warrants
ALTG.WS
+$369K

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 1.11%
2 Financials 0.72%
3 Technology 0.25%
4 Real Estate 0.1%
5 Healthcare 0.07%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
VRMEW
76
DELISTED
VerifyMe, Inc. Warrant
VRMEW
$61K 0.02%
38,582
-1,525
-4% -$2.16K
PME
77
DELISTED
Pingtan Marine Enterprise Ltd.
PME
$58K 0.02%
+56,000
New +$84.1K
FATBW
78
DELISTED
FAT Brands Inc. Warrant
FATBW
$53K 0.02%
15,000
-2,900
-16% -$10.9K
HYMCW
79
DELISTED
Hycroft Mining Holding Corporation Warrant
HYMCW
$53K 0.02%
102,355
+29,200
+40% +$36.5K
SOLOW
80
DELISTED
Electrameccanica Vehicles Corp. Ltd. Warrants
SOLOW
$45K 0.01%
15,500
-2,705
-15% -$12.4K
IMACW
81
DELISTED
IMAC Holdings, Inc. Warrant
IMACW
$44K 0.01%
102,360
-3,000
-3% -$1.47K
PXSAW
82
DELISTED
Pyxis Tankers Inc Warrant
PXSAW
$38K 0.01%
59,397
+37,569
+172% +$15.1K
SLNO
83
DELISTED
Soleno Therapeutics
SLNO
$38K 0.01%
+2,000
New +$64.5K
PAVMZ
84
DELISTED
PAVmed Inc. Series Z Warrant
PAVMZ
$37K 0.01%
+13,235
New +$26.7K
NLSPW
85
DELISTED
NLS Pharmaceutics Warrant
NLSPW
$33K 0.01%
+35,000
New +$31.8K
MDGSW
86
DELISTED
Medigus Ltd. Series C Warrant
MDGSW
$32K 0.01%
37,000
-17,000
-31% -$14.5K
SMTS
87
DELISTED
Sierra Metals Inc. Common Stock
SMTS
$32K 0.01%
10,000
-8,000
-44% -$25.2K
SEAC
88
DELISTED
Seachange International Inc
SEAC
$28K 0.01%
+900
New +$22.9K
BACK
89
DELISTED
IMAC Holdings, Inc. Common Stock
BACK
$27K 0.01%
+551
New +$32.6K
LIXTW
90
DELISTED
Lixte Biotechnology Warrants
LIXTW
$22K 0.01%
26,600
+13,599
+105% +$13K
PXS icon
91
Pyxis Tankers
PXS
$48.3M
$21K 0.01%
+5,000
New +$25.4K
GB.WS
92
DELISTED
Global Blue Group Holding AG Warrants exercisable for one Ordinary Share of Global Blue Group Holding AG at a price of $11.50 per share
GB.WS
$19K 0.01%
15,450
– –
ENTXW
93
DELISTED
Entera Bio Ltd. Warrant
ENTXW
$18K 0.01%
35,257
-253,468
-88% -$88.1K
HYMCL
94
DELISTED
Hycroft Mining Holding Corp Warrants
HYMCL
$16K 0.01%
+24,400
New +$37K
GOVXW
95
DELISTED
GeoVax Labs Warrants
GOVXW
$14K ﹤0.01%
12,052
-14,923
-55% -$25.8K
LSEAW
96
DELISTED
Landsea Homes Corporation Warrant
LSEAW
$4K ﹤0.01%
+16,000
New +$6.16K
BRMK.WS
97
DELISTED
Broadmark Realty Capital Inc. Warrants, each exercisable for one fourth (1/4th) share of Common Stock at an exercise price of $2.875 per quarter share
BRMK.WS
$2K ﹤0.01%
10,000
– –
AAPL icon
98
CALL
Apple
AAPL
$4.48T
– –
-10,000
Closed -$1.33M
AAPL icon
99
PUT
Apple
AAPL
$4.48T
– –
-10,000
Closed -$1.33M
BDX icon
100
Becton Dickinson
BDX
$47B
– –
-1,003
Closed -$245K
2 3
4
5 6

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Warberg Asset Management's Q1 2021 Portfolio in Review

As of Q1 2021, Warberg Asset Management held 214 positions worth $301M, down 26% from $408M the previous quarter. Its ten largest holdings account for 48% of the portfolio.

Warberg Asset Management withdrew a net $177M in Q1 2021, closing 60 positions and reducing 31 holdings. Its most notable exit was Norwegian Cruise Line, an estimated $1.44M position sold in full.

By sector, the portfolio is most concentrated in Consumer Discretionary at 1.1% of assets, down from 1.3% a quarter earlier, followed by Financials and Technology.

Against the trend, Warberg Asset Management opened a new position in South Jersey Industries, Inc. worth $1.28M.

  • Warberg Asset Management's largest Q1 2021 buy was South Jersey Industries, Inc.: 33,225 shares worth $1.28M.
  • Warberg Asset Management added most to GCM Grosvenor Inc Warrant in Q1 2021, an estimated $1.72M increase.
  • Warberg Asset Management's biggest Q1 2021 reduction was Pershing Square Tontine Holdings, Ltd., cutting an estimated $838K.
  • Warberg Asset Management fully exited Norwegian Cruise Line in Q1 2021, selling an estimated $1.44M.
  • Warberg Asset Management's ten largest holdings make up 48% of its $301M portfolio in Q1 2021.
  • Warberg Asset Management opened 39 new positions and closed 60 in Q1 2021.
  • Warberg Asset Management's portfolio value fell 26% quarter-over-quarter to $301M.

Based on Warberg Asset Management's 13F filing for Q1 2021, filed 17 May 2021.