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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
-1.72%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$455M
AUM Growth
-$194M
Cap. Flow
-$241M
Cap. Flow %
-52.97%
Top 10 Hldgs %
59.59%
Holding
296
New
69
Increased
53
Reduced
33
Closed
45

Top Buys

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$6.55M
2
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$6.29M
3
EXEEL
Expand Energy Corp Class C Warrants
EXEEL
+$6.04M
4
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$2.45M
5
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$2.27M

Top Sells

Rank Stock Value
1
DHR.PRA
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
+$26.2M
2
AVTR.PRA
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
+$13.4M
3
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$1.85M
4
SABRP
Sabre Corporation 6.50% Series A Mandatory Convertible Preferred Stock
SABRP
+$763K
5
RCA
Ready Capital Corporation 7.00% Convertible Senior Notes due 2023
RCA
+$743K

Sector Composition

Rank Sector Weight
1 Financials 0.95%
2 Real Estate 0.3%
3 Utilities 0.29%
4 Healthcare 0.2%
5 Technology 0.19%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
XPOA
76
DELISTED
DPCM Capital, Inc.
XPOA
$119K 0.03%
12,000
– –
ASAQ
77
DELISTED
Atlantic Avenue Acquisition Corp
ASAQ
$117K 0.03%
11,850
– –
SWN
78
CALL
DELISTED
Southwestern Energy Company
SWN
$110K 0.02%
+17,600
New +$136K
SHAP
79
DELISTED
Spree Acquisition Corp. 1 Limited
SHAP
$110K 0.02%
11,000
– –
GSD
80
DELISTED
Global Systems Dynamics Inc. Class A Common Stock
GSD
$109K 0.02%
10,827
– –
HCNE
81
DELISTED
Jaws Hurricane Acquisition Corp. Class A Common Stock
HCNE
$108K 0.02%
11,076
– –
TALKW
82
DELISTED
Talkspace Inc Warrant
TALKW
$106K 0.02%
303,956
+58,956
+24% +$13.7K
MCACU
83
DELISTED
Monterey Capital Acquisition Corporation Unit
MCACU
$103K 0.02%
+10,340
New +$103K
DSKE
84
CALL
DELISTED
Daseke, Inc. Common Stock
DSKE
$102K 0.02%
+16,000
New +$122K
MOBX icon
85
Mobix Labs
MOBX
$25.5M
$100K 0.02%
1,000
– –
ZURA icon
86
Zura Bio
ZURA
$516M
$100K 0.02%
10,000
– –
GMFI
87
DELISTED
Aetherium Acquisition Corp
GMFI
$99K 0.02%
10,000
– –
EOCW
88
DELISTED
Elliott Opportunity II Corp.
EOCW
$97K 0.02%
10,000
– –
DSKE
89
DELISTED
Daseke, Inc. Common Stock
DSKE
$96K 0.02%
15,000
– –
ASRT
90
DELISTED
Assertio
ASRT
$94K 0.02%
2,133
-200
-9% -$8.33K
NVTA
91
CALL
DELISTED
Invitae Corporation
NVTA
$85K 0.02%
35,000
+15,000
+75% +$66.3K
PAVMZ
92
DELISTED
PAVmed Inc. Series Z Warrant
PAVMZ
$83K 0.02%
166,315
-60,984
-27% -$38.4K
VEV
93
DELISTED
Vicinity Motor Corp. Common Stock
VEV
$75K 0.02%
55,068
-1,171
-2% -$2.05K
PETVW
94
DELISTED
PetVivo Holdings, Inc. Warrant
PETVW
$72K 0.02%
218,353
+95,022
+77% +$27.4K
MTEKW icon
95
Maris-Tech Ltd Warrants
MTEKW
$878K
$69K 0.02%
219,936
+1,000
+0.5% +$247
RDBXW
96
DELISTED
Redbox Entertainment Inc. Warrant
RDBXW
$66K 0.01%
+124,015
New +$65.8K
SWN
97
DELISTED
Southwestern Energy Company
SWN
$63K 0.01%
+10,000
New +$77.3K
HCDIZ
98
DELISTED
Harbor Custom Development, Inc. Warrant
HCDIZ
$62K 0.01%
165,000
-60,485
-27% -$25.2K
NN icon
99
NextNav
NN
$1.79B
$57K 0.01%
+25,000
New +$120K
SVRE
100
SaverOne 2014 Ltd
SVRE
$6.17M
$53K 0.01%
+3
New +$65.3K
2 3
4
5 6

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CCP
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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 2022 Portfolio in Review

As of Q2 2022, Warberg Asset Management held 296 positions worth $455M, down 30% from $649M the previous quarter. Its ten largest holdings account for 60% of the portfolio.

Warberg Asset Management withdrew a net $241M in Q2 2022, closing 45 positions and reducing 33 holdings. Its most notable exit was Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A, an estimated $26.2M position sold in full.

By sector, the portfolio is most concentrated in Financials at 0.95% of assets, up from 0.47% a quarter earlier, followed by Real Estate and Utilities.

Against the trend, Warberg Asset Management opened a new position in State Street SPDR S&P 500 ETF Trust worth $6.04M.

  • Warberg Asset Management's largest Q2 2022 buy was State Street SPDR S&P 500 ETF Trust: 16,000 shares worth $6.04M.
  • Warberg Asset Management added most to Occidental Petroleum Corp Warrants in Q2 2022, an estimated $6.29M increase.
  • Warberg Asset Management's biggest Q2 2022 reduction was The Southern Company, cutting an estimated $555K.
  • Warberg Asset Management fully exited Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A in Q2 2022, selling an estimated $26.2M.
  • Warberg Asset Management's ten largest holdings make up 60% of its $455M portfolio in Q2 2022.
  • Warberg Asset Management opened 69 new positions and closed 45 in Q2 2022.
  • Warberg Asset Management's portfolio value fell 30% quarter-over-quarter to $455M.

Based on Warberg Asset Management's 13F filing for Q2 2022, filed 11 Aug 2022.