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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
+1.31%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$540M
AUM Growth
-$77.1M
Cap. Flow
-$263M
Cap. Flow %
-48.78%
Top 10 Hldgs %
59.86%
Holding
253
New
57
Increased
12
Reduced
52
Closed
53

Top Buys

Rank Stock Value
1
AVTR.PRA
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
+$15.3M
2
DHR.PRA
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
+$15.2M
3
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$3.64M
4
EXEEW
Expand Energy Corp Class A Warrants
EXEEW
+$3.52M
5
AVGOP
Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A
AVGOP
+$2.58M

Top Sells

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$1.93M
2
WSC icon
WillScot Mobile Mini Holdings
WSC
+$1.78M
3
NEE.PRP
NextEra Energy, Inc. 5.279% Corporate Units
NEE.PRP
+$1.53M
4
IEAWW
Infrastructure and Energy Alternatives, Inc. Warrant
IEAWW
+$1.51M
5
MUDS
Mudrick Capital Acquisition Corporation II Class A Common Stock
MUDS
+$1.39M

Sector Composition

Rank Sector Weight
1 Financials 0.5%
2 Consumer Discretionary 0.21%
3 Healthcare 0.2%
4 Technology 0.16%
5 Real Estate 0.06%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
HCNE
76
DELISTED
Jaws Hurricane Acquisition Corp. Class A Common Stock
HCNE
$109K 0.02%
11,076
– –
ATSPT
77
DELISTED
Archimedes Tech SPAC Partners Co. Subunit
ATSPT
$109K 0.02%
11,000
– –
GSD
78
DELISTED
Global Systems Dynamics Inc. Class A Common Stock
GSD
$108K 0.02%
+10,828
New +$108K
AOGOU
79
DELISTED
Arogo Capital Acquisition Corp. Unit
AOGOU
$106K 0.02%
+10,600
New +$106K
GMFIU
80
DELISTED
Aetherium Acquisition Corp Unit
GMFIU
$100K 0.02%
+10,000
New +$100K
ZURA icon
81
Zura Bio
ZURA
$524M
$99K 0.02%
10,000
– –
MOBX icon
82
Mobix Labs
MOBX
$26M
$98K 0.02%
1,000
– –
EOCW
83
DELISTED
Elliott Opportunity II Corp.
EOCW
$98K 0.02%
10,000
– –
AHT
84
CALL
Ashford Hospitality Trust
AHT
$21M
$96K 0.02%
1,000
-1,600
-62% -$199K
DSKEW
85
DELISTED
Daseke, Inc. Warrant
DSKEW
$96K 0.02%
717,408
-345,693
-33% -$69.2K
OWL.WS
86
DELISTED
Blue Owl Capital Inc. Redeemable Warrants, each whole warrant exercisable for one share of Class A C
OWL.WS
$95K 0.02%
+20,311
New +$104K
HPKEW
87
DELISTED
HighPeak Energy, Inc. Warrant
HPKEW
$89K 0.02%
17,166
-12,313
-42% -$49.7K
KTTAW icon
88
Pasithea Therapeutics Warrants
KTTAW
$25.5K
$81K 0.02%
+218,920
New +$108K
DTSTW
89
DELISTED
Data Storage Corp Warrant
DTSTW
$72K 0.01%
88,300
-4,537
-5% -$4.37K
PTIXW
90
DELISTED
Protagenic Therapeutics Warrant
PTIXW
$69K 0.01%
181,534
-183,257
-50% -$73.7K
HCDIZ
91
DELISTED
Harbor Custom Development, Inc. Warrant
HCDIZ
$69K 0.01%
+89,743
New +$51.5K
BFRIW icon
92
Biofrontera
BFRIW
$39.7K
$67K 0.01%
+18,487
New +$39.9K
OPHC icon
93
OptimumBank Holdings
OPHC
$113M
$67K 0.01%
17,114
-1,886
-10% -$9.16K
VRMEW
94
DELISTED
VerifyMe, Inc. Warrant
VRMEW
$65K 0.01%
57,158
– –
VEV
95
DELISTED
Vicinity Motor Corp. Common Stock
VEV
$65K 0.01%
+18,501
New +$77.7K
NRSNW icon
96
NeuroSense Therapeutics Warrant
NRSNW
$3.71M
$61K 0.01%
+66,606
New +$59.3K
FREEW
97
DELISTED
Whole Earth Brands, Inc. Warrant
FREEW
$59K 0.01%
50,000
– –
VGZ icon
98
Vista Gold
VGZ
$260M
$55K 0.01%
78,110
-48,109
-38% -$34.9K
TRKAW
99
DELISTED
Troika Media Group, Inc. Warrant
TRKAW
$53K 0.01%
219,043
-346,604
-61% -$115K
KRBP
100
DELISTED
Kiromic BioPharma, Inc. Common Stock
KRBP
$52K 0.01%
1,127
+727
+182% +$49.5K
2 3
4
5 6

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Warberg Asset Management's Q4 2021 Portfolio in Review

As of Q4 2021, Warberg Asset Management held 253 positions worth $540M, down 13% from $617M the previous quarter. Its ten largest holdings account for 60% of the portfolio.

Warberg Asset Management withdrew a net $263M in Q4 2021, closing 53 positions and reducing 52 holdings. Its most notable exit was Invesco QQQ Trust, an estimated $1.93M position sold in full.

By sector, the portfolio is most concentrated in Financials at 0.5% of assets, down from 0.58% a quarter earlier, followed by Consumer Discretionary and Healthcare.

Against the trend, Warberg Asset Management opened a new position in Avantor, Inc. Series A Mandatory Convertible Preferred Stock worth $16.3M.

  • Warberg Asset Management's largest Q4 2021 buy was Avantor, Inc. Series A Mandatory Convertible Preferred Stock: 126,255 shares worth $16.3M.
  • Warberg Asset Management added most to Expand Energy Corp Class A Warrants in Q4 2021, an estimated $3.52M increase.
  • Warberg Asset Management's biggest Q4 2021 reduction was Mudrick Capital Acquisition Corporation II Class A Common Stock, cutting an estimated $1.39M.
  • Warberg Asset Management fully exited Invesco QQQ Trust in Q4 2021, selling an estimated $1.93M.
  • Warberg Asset Management's ten largest holdings make up 60% of its $540M portfolio in Q4 2021.
  • Warberg Asset Management opened 57 new positions and closed 53 in Q4 2021.
  • Warberg Asset Management's portfolio value fell 13% quarter-over-quarter to $540M.

Based on Warberg Asset Management's 13F filing for Q4 2021, filed 14 Feb 2022.