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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
+7.08%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$578M
AUM Growth
+$123M
Cap. Flow
-$32M
Cap. Flow %
-5.54%
Top 10 Hldgs %
63.86%
Holding
346
New
101
Increased
44
Reduced
42
Closed
52

Top Buys

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$8.6M
2
HTZWW
Hertz Global Holdings Warrants
HTZWW
+$4.23M
3
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$3.22M
4
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$2.96M
5
AAPL icon
Apple
AAPL
+$2.51M

Top Sells

Rank Stock Value
1
SWT
Stanley Black & Decker, Inc.
SWT
+$1.11M
2
PSTH
Pershing Square Tontine Holdings, Ltd.
PSTH
+$782K
3
SO icon
Southern Company
SO
+$713K
4
SOLN
The Southern Company
SOLN
+$604K
5
SJIV
South Jersey Industries, Inc. Corporate Units
SJIV
+$551K

Sector Composition

Rank Sector Weight
1 Financials 1.47%
2 Technology 0.65%
3 Consumer Discretionary 0.24%
4 Real Estate 0.22%
5 Healthcare 0.17%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SWN
76
CALL
DELISTED
Southwestern Energy Company
SWN
$200K 0.03%
32,600
+15,000
+85% +$104K
AIMBU
77
DELISTED
Aimfinity Investment Corp I Subunit
AIMBU
$197K 0.03%
20,000
– –
LUXA
78
DELISTED
Lux Health Tech Acquisition Corp. Class A Common Stock
LUXA
$189K 0.03%
+18,900
New +$188K
SBC
79
SBC Medical Group
SBC
$324M
$183K 0.03%
+18,250
New +$183K
DKNG icon
80
PUT
DraftKings
DKNG
$11.7B
$182K 0.03%
12,000
– –
SHAP
81
DELISTED
Spree Acquisition Corp. 1 Limited
SHAP
$179K 0.03%
17,713
+6,713
+61% +$67.4K
DECA
82
DELISTED
Denali Capital Acquisition Corp. Class A Ordinary Shares
DECA
$176K 0.03%
17,500
– –
GLSTU
83
DELISTED
Global Star Acquisition, Inc. Unit
GLSTU
$175K 0.03%
+17,456
New +$174K
PTOC
84
DELISTED
Pine Technology Acquisition Corp. Class A Common Stock
PTOC
$172K 0.03%
17,502
– –
GENQ
85
DELISTED
Genesis Unicorn Capital Corp. Class A Common Stock
GENQ
$171K 0.03%
17,043
– –
MARA icon
86
PUT
Marathon Digital Holdings
MARA
$4.44B
$170K 0.03%
+15,900
New +$188K
TMPM
87
DELISTED
Turmeric Acquisition Corp. Class A Ordinary Shares
TMPM
$169K 0.03%
+16,867
New +$168K
FEXD
88
DELISTED
Fintech Ecosystem Development Corp. Class A Common Stock
FEXD
$164K 0.03%
+16,256
New +$163K
MDAI icon
89
Spectral AI
MDAI
$52.5M
$158K 0.03%
16,077
– –
BMTX.WS
90
DELISTED
BM Technologies, Inc. Warrants, each warrant exercisable for one share of Common Stock at an exercise price of $11.50
BMTX.WS
$158K 0.03%
219,926
-27,219
-11% -$17.8K
SMR.WS
91
DELISTED
NuScale Power Corporation Warrants, each exercisable for one share of Class A Common Stock at an exercise price of $11.50 per share
SMR.WS
$157K 0.03%
+75,656
New +$214K
FSR
92
DELISTED
Fisker Inc.
FSR
$157K 0.03%
+20,800
New +$188K
PSAG
93
DELISTED
Property Solutions Acquisition Corporation II Class A Common Stock
PSAG
$157K 0.03%
16,000
– –
PNST
94
DELISTED
Pinstripes Holdings, Inc.
PNST
$150K 0.03%
15,000
– –
CONX
95
DELISTED
CONX Corp. Class A Common Stock
CONX
$150K 0.03%
15,044
– –
DRAY
96
DELISTED
Macondray Capital Acquisition Corp. I Class A Ordinary Shares
DRAY
$150K 0.03%
15,000
– –
MITA
97
DELISTED
Coliseum Acquisition Corp. Class A Ordinary Share
MITA
$147K 0.03%
15,000
– –
PMGM
98
DELISTED
Priveterra Acquisition Corp. II Class A Common Stock
PMGM
$145K 0.03%
14,500
– –
PEPL
99
DELISTED
PepperLime Health Acquisition Corporation Class A Ordinary Share
PEPL
$141K 0.02%
14,136
-17,143
-55% -$170K
BBBY
100
PUT
DELISTED
Bed Bath & Beyond Inc
BBBY
$134K 0.02%
+22,000
New +$179K
2 3
4
5 6

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NPCM
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Warberg Asset Management's Q3 2022 Portfolio in Review

As of Q3 2022, Warberg Asset Management held 346 positions worth $578M, up 27% from $455M the previous quarter. Its ten largest holdings account for 64% of the portfolio.

Warberg Asset Management withdrew a net $32M in Q3 2022, closing 52 positions and reducing 42 holdings. Its most notable exit was Stanley Black & Decker, Inc., an estimated $1.11M position sold in full.

By sector, the portfolio is most concentrated in Financials at 1.5% of assets, up from 0.95% a quarter earlier, followed by Technology and Consumer Discretionary.

Against the trend, Warberg Asset Management opened a new position in Apple worth $2.21M.

  • Warberg Asset Management's largest Q3 2022 buy was Apple: 16,000 shares worth $2.21M.
  • Warberg Asset Management added most to Invesco QQQ Trust in Q3 2022, an estimated $8.6M increase.
  • Warberg Asset Management's biggest Q3 2022 reduction was South Jersey Industries, Inc. Corporate Units, cutting an estimated $551K.
  • Warberg Asset Management fully exited Stanley Black & Decker, Inc. in Q3 2022, selling an estimated $1.11M.
  • Warberg Asset Management's ten largest holdings make up 64% of its $578M portfolio in Q3 2022.
  • Warberg Asset Management opened 101 new positions and closed 52 in Q3 2022.
  • Warberg Asset Management's portfolio value rose 27% quarter-over-quarter to $578M.

Based on Warberg Asset Management's 13F filing for Q3 2022, filed 7 Nov 2022.