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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
+0.3%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$507M
AUM Growth
-$131M
Cap. Flow
-$367M
Cap. Flow %
-72.27%
Top 10 Hldgs %
67.23%
Holding
329
New
60
Increased
39
Reduced
52
Closed
80

Top Buys

Rank Stock Value
1
ICSH icon
iShares Ultra Short Duration Bond Active ETF
ICSH
+$1.54M
2
APTV.PRA
Aptiv PLC 5.50% Series A Mandatory Convertible Preferred Shares
APTV.PRA
+$1.12M
3
OAKUU
Oak Woods Acquisition Corp Unit
OAKUU
+$663K
4
MAQC
Maquia Capital Acquisition Corporation Class A Common Stock
MAQC
+$595K
5
FLOT icon
iShares Floating Rate Bond ETF
FLOT
+$534K

Top Sells

Rank Stock Value
1
SJIV
South Jersey Industries, Inc. Corporate Units
SJIV
+$10.7M
2
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$4.92M
3
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$3.75M
4
QQQ icon
Invesco QQQ Trust
QQQ
+$1.62M
5
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$1.62M

Sector Composition

Rank Sector Weight
1 Financials 1.37%
2 Technology 0.4%
3 Industrials 0.23%
4 Consumer Discretionary 0.22%
5 Real Estate 0.18%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
DECA
76
DELISTED
Denali Capital Acquisition Corp. Class A Ordinary Shares
DECA
$183K 0.04%
17,500
– –
GLST
77
DELISTED
Global Star Acquisition, Inc. Class A Common Stock
GLST
$180K 0.04%
17,456
– –
AMPX icon
78
CALL
Amprius Technologies
AMPX
$1.66B
$174K 0.03%
20,000
-20,000
-50% -$126K
SBC
79
SBC Medical Group
SBC
$313M
$164K 0.03%
15,750
-2,500
-14% -$25.8K
JWN
80
CALL
DELISTED
Nordstrom
JWN
$163K 0.03%
+10,000
New +$187K
PLTN
81
DELISTED
Plutonian Acquisition Corp. Common Stock
PLTN
$162K 0.03%
+15,800
New +$161K
FRC
82
CALL
DELISTED
First Republic Bank
FRC
$140K 0.03%
+10,000
New +$1.02M
SURG icon
83
PUT
SurgePays
SURG
$5.61M
$136K 0.03%
+30,400
New +$164K
AVAC
84
DELISTED
Avalon Acquisition Inc. Class A Common Stock
AVAC
$134K 0.03%
+12,874
New +$133K
SOAR icon
85
Volato Group
SOAR
$7.18M
$132K 0.03%
+507
New +$131K
PNST
86
DELISTED
Pinstripes Holdings, Inc.
PNST
$122K 0.02%
11,715
-3,285
-22% -$33.9K
ABP
87
DELISTED
Abpro Holdings
ABP
$121K 0.02%
+389
New +$120K
AIB
88
DELISTED
AIB Acquisition Corp
AIB
$119K 0.02%
+11,295
New +$118K
ISRL
89
DELISTED
Israel Acquisitions Corp
ISRL
$111K 0.02%
+10,850
New +$111K
FSR
90
DELISTED
Fisker Inc.
FSR
$110K 0.02%
18,000
-4,400
-20% -$30.3K
BRAC
91
DELISTED
Broad Capital Acquisition Corp Common Stock
BRAC
$109K 0.02%
+10,308
New +$107K
BMR icon
92
Beamr Imaging
BMR
$20M
$107K 0.02%
+53,713
New +$158K
PPHP
93
DELISTED
PHP Ventures Acquisition Corp. Class A Common Stock
PPHP
$106K 0.02%
+10,027
New +$105K
PETVW
94
DELISTED
PetVivo Holdings, Inc. Warrant
PETVW
$103K 0.02%
258,208
+36,231
+16% +$14.8K
KVSA
95
DELISTED
Khosla Ventures Acquisition Co. Class A Common Stock
KVSA
$101K 0.02%
+10,000
New +$101K
DRCTW
96
DELISTED
Direct Digital Holdings, Inc. Warrant
DRCTW
$100K 0.02%
133,382
+70,766
+113% +$67.5K
VBIO
97
Valion Bio
VBIO
$1.21M
$81.6K 0.02%
+319
New +$224K
SABS icon
98
SAB Biotherapeutics
SABS
$288M
$78.2K 0.02%
17,766
-19,271
-52% -$122K
POL.WS
99
DELISTED
Polished.com Inc. Warrants to Purchase Common Stock
POL.WS
$76.5K 0.02%
773,118
– –
SBEV.WS
100
DELISTED
Splash Beverage Group, Inc. Warrants to purchase 1/40th of a share of Common Stock at an exercise price of $184.00
SBEV.WS
$76K 0.02%
271,493
-182,481
-40% -$38.8K
2 3
4
5 6

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Warberg Asset Management's Q1 2023 Portfolio in Review

As of Q1 2023, Warberg Asset Management held 329 positions worth $507M, down 21% from $638M the previous quarter. Its ten largest holdings account for 67% of the portfolio.

Warberg Asset Management withdrew a net $367M in Q1 2023, closing 80 positions and reducing 52 holdings. Its most notable exit was South Jersey Industries, Inc. Corporate Units, an estimated $10.7M position sold in full.

By sector, the portfolio is most concentrated in Financials at 1.4% of assets, up from 1.2% a quarter earlier, followed by Technology and Industrials.

Against the trend, Warberg Asset Management opened a new position in iShares Ultra Short Duration Bond Active ETF worth $1.54M.

  • Warberg Asset Management's largest Q1 2023 buy was iShares Ultra Short Duration Bond Active ETF: 30,744 shares worth $1.54M.
  • Warberg Asset Management added most to Expand Energy Corp Class A Warrants in Q1 2023, an estimated $481K increase.
  • Warberg Asset Management's biggest Q1 2023 reduction was Occidental Petroleum Corp Warrants, cutting an estimated $3.75M.
  • Warberg Asset Management fully exited South Jersey Industries, Inc. Corporate Units in Q1 2023, selling an estimated $10.7M.
  • Warberg Asset Management's ten largest holdings make up 67% of its $507M portfolio in Q1 2023.
  • Warberg Asset Management opened 60 new positions and closed 80 in Q1 2023.
  • Warberg Asset Management's portfolio value fell 21% quarter-over-quarter to $507M.

Based on Warberg Asset Management's 13F filing for Q1 2023, filed 15 May 2023.