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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
+1.57%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$617M
AUM Growth
+$101M
Cap. Flow
-$159M
Cap. Flow %
-25.85%
Top 10 Hldgs %
61.15%
Holding
231
New
51
Increased
29
Reduced
33
Closed
34

Top Buys

Rank Stock Value
1
EXEEW
Expand Energy Corp Class A Warrants
EXEEW
+$3.67M
2
MUDS
Mudrick Capital Acquisition Corporation II Class A Common Stock
MUDS
+$2.21M
3
QQQ icon
Invesco QQQ Trust
QQQ
+$1.84M
4
PAVMZ
PAVmed Inc. Series Z Warrant
PAVMZ
+$1.82M
5
NEE.PRP
NextEra Energy, Inc. 5.279% Corporate Units
NEE.PRP
+$1.57M

Top Sells

Rank Stock Value
1
TWNKW
Hostess Brands, Inc. Warrants
TWNKW
+$5.03M
2
WSC icon
WillScot Mobile Mini Holdings
WSC
+$2.17M
3
CFXA
Colfax Corporation 5.75% Tangible Equity Units
CFXA
+$1.25M
4
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$907K
5
POL.WS
Polished.com Inc. Warrants to Purchase Common Stock
POL.WS
+$478K

Sector Composition

Rank Sector Weight
1 Financials 0.58%
2 Consumer Discretionary 0.44%
3 Industrials 0.35%
4 Technology 0.13%
5 Real Estate 0.12%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SQLLW
76
DELISTED
SeqLL Inc. Warrant
SQLLW
$113K 0.02%
+107,045
New +$125K
PRBM.U
77
DELISTED
Parabellum Acquisition Corp. Units, each consisting of one share of Class A common stock and three-quarters of one redeemable warrant
PRBM.U
$110K 0.02%
+11,000
New +$110K
NG icon
78
CALL
NovaGold Resources
NG
$2.61B
$108K 0.02%
15,700
– –
HCNE
79
DELISTED
Jaws Hurricane Acquisition Corp. Class A Common Stock
HCNE
$108K 0.02%
+11,076
New +$108K
ATSPT
80
DELISTED
Archimedes Tech SPAC Partners Co. Subunit
ATSPT
$108K 0.02%
11,000
– –
ZNTE
81
DELISTED
Zanite Acquisition Corp. Class A Common Stock
ZNTE
$107K 0.02%
10,600
– –
CRXTW
82
DELISTED
Clarus Therapeutics Holdings, Inc. Warrants
CRXTW
$105K 0.02%
+139,840
New +$105K
HUMAW icon
83
Humacyte Inc Warrant
HUMAW
$1.27M
$103K 0.02%
+35,662
New +$104K
HHGCU
84
DELISTED
HHG Capital Corporation Units
HHGCU
$103K 0.02%
+10,092
New +$103K
NXXT
85
NextNRG Inc
NXXT
$45.2M
$102K 0.02%
+1,250
New +$95.6K
MOBX icon
86
Mobix Labs
MOBX
$26M
$99K 0.02%
+1,000
New +$97.2K
ZURA icon
87
Zura Bio
ZURA
$524M
$99K 0.02%
+10,000
New +$98.1K
CELUW
88
DELISTED
Celularity Inc
CELUW
$98K 0.02%
85,147
+75,147
+751% +$101K
OPHC icon
89
OptimumBank Holdings
OPHC
$113M
$98K 0.02%
19,000
-8,775
-32% -$45.7K
EOCW
90
DELISTED
Elliott Opportunity II Corp.
EOCW
$97K 0.02%
+10,000
New +$97.3K
BMTX.WS
91
DELISTED
BM Technologies, Inc. Warrants, each warrant exercisable for one share of Common Stock at an exercise price of $11.50
BMTX.WS
$96K 0.02%
64,160
+18,188
+40% +$33.7K
DTSTW
92
DELISTED
Data Storage Corp Warrant
DTSTW
$93K 0.02%
92,837
-6,537
-7% -$9.09K
VGZ icon
93
Vista Gold
VGZ
$260M
$91K 0.01%
+126,219
New +$108K
DRMAW icon
94
Dermata Therapeutics Warrant
DRMAW
$14.1K
$85K 0.01%
+100,000
New +$103K
BTRSW
95
DELISTED
BTRS Holdings Inc. Warrants
BTRSW
$85K 0.01%
32,400
-600
-2% -$1.92K
FREEW
96
DELISTED
Whole Earth Brands, Inc. Warrant
FREEW
$78K 0.01%
50,000
– –
VRMEW
97
DELISTED
VerifyMe, Inc. Warrant
VRMEW
$77K 0.01%
57,158
+20,050
+54% +$24.3K
SPIR.WS
98
DELISTED
Spire Global, Inc. Warrants, each whole warrant exercisable for one share of Class A Common Stock at an exercise price of $11.50 per whole share
SPIR.WS
$77K 0.01%
+45,370
New +$69.5K
ALFIW
99
DELISTED
ALFI Inc Warrant
ALFIW
$75K 0.01%
20,017
-34,871
-64% -$195K
AP.WS
100
DELISTED
Ampco-Pittsburgh Corp Series A Warrants
AP.WS
$71K 0.01%
84,800
-2,700
-3% -$2.49K
2 3
4
5 6

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Warberg Asset Management's Q3 2021 Portfolio in Review

As of Q3 2021, Warberg Asset Management held 231 positions worth $617M, up 20% from $516M the previous quarter. Its ten largest holdings account for 61% of the portfolio.

Warberg Asset Management withdrew a net $159M in Q3 2021, closing 34 positions and reducing 33 holdings. Its most notable exit was Colfax Corporation 5.75% Tangible Equity Units, an estimated $1.25M position sold in full.

By sector, the portfolio is most concentrated in Financials at 0.58% of assets, down from 0.64% a quarter earlier, followed by Consumer Discretionary and Industrials.

Against the trend, Warberg Asset Management opened a new position in Expand Energy Corp Class A Warrants worth $4.29M.

  • Warberg Asset Management's largest Q3 2021 buy was Expand Energy Corp Class A Warrants: 118,000 shares worth $4.29M.
  • Warberg Asset Management added most to Mudrick Capital Acquisition Corporation II Class A Common Stock in Q3 2021, an estimated $2.21M increase.
  • Warberg Asset Management's biggest Q3 2021 reduction was Hostess Brands, Inc. Warrants, cutting an estimated $5.03M.
  • Warberg Asset Management fully exited Colfax Corporation 5.75% Tangible Equity Units in Q3 2021, selling an estimated $1.25M.
  • Warberg Asset Management's ten largest holdings make up 61% of its $617M portfolio in Q3 2021.
  • Warberg Asset Management opened 51 new positions and closed 34 in Q3 2021.
  • Warberg Asset Management's portfolio value rose 20% quarter-over-quarter to $617M.

Based on Warberg Asset Management's 13F filing for Q3 2021, filed 15 Nov 2021.