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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
+1.52%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$638M
AUM Growth
+$60.1M
Cap. Flow
-$164M
Cap. Flow %
-25.73%
Top 10 Hldgs %
75.41%
Holding
356
New
64
Increased
35
Reduced
46
Closed
83

Top Buys

Rank Stock Value
1
SJIV
South Jersey Industries, Inc. Corporate Units
SJIV
+$9.41M
2
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$1.65M
3
HTZWW
Hertz Global Holdings Warrants
HTZWW
+$724K
4
ELAT
Elanco Animal Health Incorporated 5.00% Tangible Equity Units
ELAT
+$712K
5
PXSAP
Pyxis Tankers Inc. 7.75% Series A Cumulative Convertible Preferred Shares
PXSAP
+$691K

Top Sells

Rank Stock Value
1
EXEEW
Expand Energy Corp Class A Warrants
EXEEW
+$34.5M
2
EXEEL
Expand Energy Corp Class C Warrants
EXEEL
+$24.2M
3
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$18.5M
4
QQQ icon
Invesco QQQ Trust
QQQ
+$8.3M
5
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$8.07M

Sector Composition

Rank Sector Weight
1 Financials 1.2%
2 Technology 0.39%
3 Real Estate 0.28%
4 Healthcare 0.22%
5 Industrials 0.17%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
EXEEW
76
DELISTED
Expand Energy Corp Class A Warrants
EXEEW
$202K 0.03%
2,402
-392,967
-99% -$34.5M
AIMBU
77
DELISTED
Aimfinity Investment Corp I Subunit
AIMBU
$201K 0.03%
20,000
– –
DRAY
78
DELISTED
Macondray Capital Acquisition Corp. I Class A Ordinary Shares
DRAY
$201K 0.03%
19,700
+4,700
+31% +$47.5K
SBC
79
SBC Medical Group
SBC
$324M
$186K 0.03%
18,250
– –
SHAP
80
DELISTED
Spree Acquisition Corp. 1 Limited
SHAP
$182K 0.03%
17,713
– –
DECA
81
DELISTED
Denali Capital Acquisition Corp. Class A Ordinary Shares
DECA
$180K 0.03%
17,500
– –
GLST
82
DELISTED
Global Star Acquisition, Inc. Class A Common Stock
GLST
$177K 0.03%
+17,456
New +$176K
PTOC
83
DELISTED
Pine Technology Acquisition Corp. Class A Common Stock
PTOC
$176K 0.03%
17,502
– –
GENQ
84
DELISTED
Genesis Unicorn Capital Corp. Class A Common Stock
GENQ
$174K 0.03%
17,043
– –
PGRW
85
DELISTED
Progress Acquisition Corp. Class A Common Stock
PGRW
$172K 0.03%
+16,970
New +$171K
JMAC
86
DELISTED
Maxpro Capital Acquisition Corp. Class A Common Stock
JMAC
$171K 0.03%
+16,502
New +$168K
FEXD
87
DELISTED
Fintech Ecosystem Development Corp. Class A Common Stock
FEXD
$170K 0.03%
16,608
+352
+2% +$3.56K
FSR
88
DELISTED
Fisker Inc.
FSR
$163K 0.03%
22,400
+1,600
+8% +$11.9K
PLTNU
89
DELISTED
Plutonian Acquisition Corp. Unit
PLTNU
$159K 0.02%
+15,800
New +$159K
PNST
90
DELISTED
Pinstripes Holdings, Inc.
PNST
$153K 0.02%
15,000
– –
MITA
91
DELISTED
Coliseum Acquisition Corp. Class A Ordinary Share
MITA
$151K 0.02%
15,000
– –
QTI
92
QT Imaging Holdings
QTI
$36.2M
$147K 0.02%
+14,401
New +$146K
PEPL
93
DELISTED
PepperLime Health Acquisition Corporation Class A Ordinary Share
PEPL
$144K 0.02%
14,136
– –
SA
94
CALL
Seabridge Gold
SA
$2.84B
$138K 0.02%
+11,000
New +$130K
PALI icon
95
Palisade Bio
PALI
$337M
$137K 0.02%
1,754
+1,554
+777% +$90.1K
ECDA
96
DELISTED
ECD Automotive Design
ECDA
$133K 0.02%
+67
New +$134K
IRRX
97
DELISTED
Integrated Rail and Resources Acquisition Corp.
IRRX
$131K 0.02%
12,843
– –
BEATW icon
98
Heartbeam Inc Warrant
BEATW
$128K 0.02%
117,500
+37,500
+47% +$30K
SMR.WS
99
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
$120K 0.02%
75,656
– –
KPRX icon
100
Kiora Pharmaceuticals
KPRX
$11.5M
$113K 0.02%
+3,667
New +$169K
2 3
4
5 6

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BHPW
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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 Q4 2022 Portfolio in Review

As of Q4 2022, Warberg Asset Management held 356 positions worth $638M, up 10% from $578M the previous quarter. Its ten largest holdings account for 75% of the portfolio.

Warberg Asset Management withdrew a net $164M in Q4 2022, closing 83 positions and reducing 46 holdings. Its most notable exit was Expand Energy Corp Class B Warrants, an estimated $18.5M position sold in full.

By sector, the portfolio is most concentrated in Financials at 1.2% of assets, down from 1.5% a quarter earlier, followed by Technology and Real Estate.

Against the trend, Warberg Asset Management opened a new position in Janus Henderson Short Duration Income ETF worth $1.62M.

  • Warberg Asset Management's largest Q4 2022 buy was Janus Henderson Short Duration Income ETF: 34,175 shares worth $1.62M.
  • Warberg Asset Management added most to South Jersey Industries, Inc. Corporate Units in Q4 2022, an estimated $9.41M increase.
  • Warberg Asset Management's biggest Q4 2022 reduction was Expand Energy Corp Class A Warrants, cutting an estimated $34.5M.
  • Warberg Asset Management fully exited Expand Energy Corp Class B Warrants in Q4 2022, selling an estimated $18.5M.
  • Warberg Asset Management's ten largest holdings make up 75% of its $638M portfolio in Q4 2022.
  • Warberg Asset Management opened 64 new positions and closed 83 in Q4 2022.
  • Warberg Asset Management's portfolio value rose 10% quarter-over-quarter to $638M.

Based on Warberg Asset Management's 13F filing for Q4 2022, filed 13 Feb 2023.