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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
+5.76%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$516M
AUM Growth
+$215M
Cap. Flow
-$47.8M
Cap. Flow %
-9.26%
Top 10 Hldgs %
55.42%
Holding
238
New
71
Increased
20
Reduced
27
Closed
43

Top Buys

Rank Stock Value
1
WSC icon
WillScot Mobile Mini Holdings
WSC
+$3.77M
2
WTRU
Essential Utilities, Inc.6.00% Tangible Equity Units
WTRU
+$1.58M
3
CFXA
Colfax Corporation 5.75% Tangible Equity Units
CFXA
+$1.22M
4
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$930K
5
TWNKW
Hostess Brands, Inc. Warrants
TWNKW
+$912K

Top Sells

Rank Stock Value
1
CCL icon
Carnival Corporation Ltd
CCL
+$3.17M
2
SJIU
South Jersey Industries, Inc.
SJIU
+$1.28M
3
GCMGW
GCM Grosvenor Inc Warrant
GCMGW
+$1.16M
4
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$677K
5
CHNGU
Change Healthcare Inc. Tangible Equity Units
CHNGU
+$645K

Sector Composition

Rank Sector Weight
1 Industrials 0.76%
2 Financials 0.64%
3 Technology 0.23%
4 Healthcare 0.21%
5 Consumer Discretionary 0.17%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PMGM
76
DELISTED
Priveterra Acquisition Corp. II Class A Common Stock
PMGM
$141K 0.03%
14,500
– –
OPHC icon
77
OptimumBank Holdings
OPHC
$92.1M
$134K 0.03%
27,775
-14,848
-35% -$60K
CLOV icon
78
PUT
Clover Health Investments
CLOV
$2.24B
$133K 0.03%
10,000
-39,800
-80% -$391K
AVCT
79
DELISTED
American Virtual Cloud Technologies, Inc. Common Stock
AVCT
$133K 0.03%
+1,485
New +$142K
FOXO
80
DELISTED
FOXO TECHNOLOGIES INC A
FOXO
$132K 0.03%
68
– –
BTRSW
81
DELISTED
BTRS Holdings Inc. Warrants
BTRSW
$130K 0.03%
33,000
+3,800
+13% +$18.2K
NG icon
82
CALL
NovaGold Resources
NG
$2.57B
$126K 0.02%
15,700
-5,300
-25% -$49.9K
GOEVW
83
DELISTED
Canoo Inc. Warrant
GOEVW
$126K 0.02%
42,000
-46,000
-52% -$109K
DILAU
84
DELISTED
DILA Capital Acquisition Corp. Unit
DILAU
$126K 0.02%
+12,465
New +$125K
DTSTW
85
DELISTED
Data Storage Corp Warrant
DTSTW
$121K 0.02%
+99,374
New +$94.4K
SRNG
86
DELISTED
Soaring Eagle Acquisition Corp. Class A Ordinary Share
SRNG
$120K 0.02%
+12,000
New +$120K
XPOA
87
DELISTED
DPCM Capital, Inc.
XPOA
$119K 0.02%
+12,000
New +$119K
BKKT icon
88
Bakkt Inc
BKKT
$320M
$118K 0.02%
+473
New +$130K
BMTX.WS
89
DELISTED
BM Technologies, Inc. Warrants, each warrant exercisable for one share of Common Stock at an exercise price of $11.50
BMTX.WS
$118K 0.02%
+45,972
New +$101K
DSKEW
90
DELISTED
Daseke, Inc. Warrant
DSKEW
$117K 0.02%
1,013,192
+6,803
+0.7% +$1.19K
ASAQ
91
DELISTED
Atlantic Avenue Acquisition Corp
ASAQ
$115K 0.02%
11,850
– –
HCNEU
92
DELISTED
Jaws Hurricane Acquisition Corp. Unit
HCNEU
$114K 0.02%
+11,374
New +$115K
FREEW
93
DELISTED
Whole Earth Brands, Inc. Warrant
FREEW
$111K 0.02%
+50,000
New +$99.2K
ZNTE
94
DELISTED
Zanite Acquisition Corp. Class A Common Stock
ZNTE
$107K 0.02%
+10,600
New +$106K
ATSPT
95
DELISTED
Archimedes Tech SPAC Partners Co. Subunit
ATSPT
$107K 0.02%
+11,000
New +$107K
EOCW.U
96
DELISTED
Elliott Opportunity II Corp. Units, each consisting of one Class A ordinary share and one-fourth of one redeemable warrant
EOCW.U
$100K 0.02%
+10,000
New +$100K
GROMW
97
DELISTED
Grom Social Enterprises Inc. Warrants
GROMW
$90K 0.02%
+3,013
New +$72.9K
SOS
98
PUT
SOS Limited
SOS
$16.7M
$89K 0.02%
+36
New +$106K
DBGIW
99
DELISTED
Digital Brands Group, Inc. Warrant
DBGIW
$88K 0.02%
+518
New +$38.4K
AP.WS
100
DELISTED
Ampco-Pittsburgh Corp Series A Warrants
AP.WS
$79K 0.02%
87,500
-1,200
-1% -$1.33K
2 3
4
5 6

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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
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Warberg Asset Management's Q2 2021 Portfolio in Review

As of Q2 2021, Warberg Asset Management held 238 positions worth $516M, up 71% from $301M the previous quarter. Its ten largest holdings account for 55% of the portfolio.

Warberg Asset Management withdrew a net $47.8M in Q2 2021, closing 43 positions and reducing 27 holdings. Its most notable exit was Carnival Corporation Ltd, an estimated $3.17M position sold in full.

By sector, the portfolio is most concentrated in Industrials at 0.76% of assets, up from 0.03% a quarter earlier, followed by Financials and Technology.

Against the trend, Warberg Asset Management opened a new position in WillScot Mobile Mini Holdings worth $3.65M.

  • Warberg Asset Management's largest Q2 2021 buy was WillScot Mobile Mini Holdings: 131,149 shares worth $3.65M.
  • Warberg Asset Management added most to Hostess Brands, Inc. Warrants in Q2 2021, an estimated $912K increase.
  • Warberg Asset Management's biggest Q2 2021 reduction was GCM Grosvenor Inc Warrant, cutting an estimated $1.16M.
  • Warberg Asset Management fully exited Carnival Corporation Ltd in Q2 2021, selling an estimated $3.17M.
  • Warberg Asset Management's ten largest holdings make up 55% of its $516M portfolio in Q2 2021.
  • Warberg Asset Management opened 71 new positions and closed 43 in Q2 2021.
  • Warberg Asset Management's portfolio value rose 71% quarter-over-quarter to $516M.

Based on Warberg Asset Management's 13F filing for Q2 2021, filed 16 Aug 2021.