WAM

Warberg Asset Management Portfolio holdings

AUM $408M
This Quarter Return
+3.88%
1 Year Return
+10.11%
3 Year Return
+19.63%
5 Year Return
–
10 Year Return
–
AUM
$319M
AUM Growth
+$319M
Cap. Flow
+$8.93M
Cap. Flow %
2.8%
Top 10 Hldgs %
44.18%
Holding
240
New
57
Increased
17
Reduced
15
Closed
29

Top Buys

1
WSC icon
WillScot Mobile Mini Holdings
WSC
$3.66M
2
WTRU
Essential Utilities, Inc.6.00% Tangible Equity Units
WTRU
$1.54M
3
CFXA
Colfax Corporation 5.75% Tangible Equity Units
CFXA
$1.25M
4
TWNKW
Hostess Brands, Inc. Warrants
TWNKW
$1.08M
5
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
$907K

Top Sells

1
CCL icon
Carnival Corp
CCL
$3.17M
2
SJIU
South Jersey Industries, Inc.
SJIU
$1.28M
3
GCMGW icon
GCM Grosvenor Inc. Warrant
GCMGW
$1.1M
4
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
$677K
5
CHNGU
Change Healthcare Inc. Tangible Equity Units
CHNGU
$645K

Sector Composition

1 Industrials 1.23%
2 Financials 1.03%
3 Technology 0.37%
4 Healthcare 0.34%
5 Consumer Discretionary 0.28%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
ZIVOW
76
DELISTED
Zivo Bioscience, Inc. Warrants
ZIVOW
$45K 0.01% +30,000 New +$45K
ENTXW
77
DELISTED
Entera Bio Ltd. Warrant
ENTXW
$45K 0.01% 45,001 +9,744 +28% +$9.74K
NLSPW icon
78
NLS Pharmaceutics Ltd. Warrant
NLSPW
$49K
$44K 0.01% 40,111 +5,111 +15% +$5.61K
HYMCL icon
79
Hycroft Mining Holding Corporation Warrants
HYMCL
$115K
$43K 0.01% 51,158 +26,758 +110% +$22.5K
COMSW
80
DELISTED
COMSovereign Holding Corp. Warrants
COMSW
$41K 0.01% 35,000 -37,058 -51% -$43.4K
SLNO icon
81
Soleno Therapeutics
SLNO
$3.6B
$34K 0.01% 30,000 – –
IMACW
82
DELISTED
IMAC Holdings, Inc. Warrant
IMACW
$33K 0.01% 65,625 -36,735 -36% -$18.5K
PBLA
83
DELISTED
Panbela Therapeutics, Inc. Common Stock
PBLA
$33K 0.01% +11,567 New +$33K
JOB icon
84
GEE Group
JOB
$21.5M
$31K 0.01% +54,000 New +$31K
ADVWW
85
Advantage Solutions Warrant
ADVWW
$30K 0.01% +12,000 New +$30K
GOVXW icon
86
GeoVax Labs, Inc. Warrants
GOVXW
$22K ﹤0.01% 16,302 +4,250 +35% +$5.74K
PXS icon
87
Pyxis Tankers
PXS
$29.3M
$22K ﹤0.01% 25,000 +5,000 +25% +$4.4K
SEAC
88
DELISTED
Seachange International Inc
SEAC
$20K ﹤0.01% 15,400 -2,600 -14% -$3.38K
PXSAW
89
Pyxis Tankers Inc. Warrant
PXSAW
$19K ﹤0.01% 47,045 -12,352 -21% -$4.99K
MDGSW
90
DELISTED
Medigus Ltd. Series C Warrant
MDGSW
$19K ﹤0.01% 32,900 -4,100 -11% -$2.37K
SBEV.WS
91
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
$15K ﹤0.01% +13,512 New +$15K
CELUW icon
92
Celularity Inc. Warrant
CELUW
$862K
$14K ﹤0.01% +10,000 New +$14K
LIXTW icon
93
Lixte Biotechnology Holdings, Inc. Warrants
LIXTW
$301K
$11K ﹤0.01% 14,354 -12,246 -46% -$9.39K
NBSTW
94
DELISTED
Newbury Street Acquisition Corporation Warrants
NBSTW
$8K ﹤0.01% +10,000 New +$8K
LSEAW
95
DELISTED
Landsea Homes Corporation Warrant
LSEAW
– – -16,000 Closed -$4K
META icon
96
Meta Platforms (Facebook)
META
$1.86T
– – 0 – –
MSFT icon
97
Microsoft
MSFT
$3.77T
– – 0 – –
SJIU
98
DELISTED
South Jersey Industries, Inc.
SJIU
– – -33,225 Closed -$1.28M
ALTG.WS
99
DELISTED
Alta Equipment Group Inc. Warrants, each whole warrant exercisable for one share of Common Stock, ea
ALTG.WS
– – -174,606 Closed -$611K
PTOCU
100
DELISTED
Pine TechnologYES Acquisition Corp. Unit
PTOCU
– – -17,500 Closed -$174K
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4
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