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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
+0.9%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$603M
AUM Growth
+$95.1M
Cap. Flow
-$108M
Cap. Flow %
-17.85%
Top 10 Hldgs %
72.31%
Holding
314
New
63
Increased
45
Reduced
48
Closed
75

Top Buys

Rank Stock Value
1
HTZWW
Hertz Global Holdings Warrants
HTZWW
+$1.67M
2
EPR.PRC icon
EPR Properties 5.75% Series C Preferred Shares
EPR.PRC
+$751K
3
EXEEL
Expand Energy Corp Class C Warrants
EXEEL
+$733K
4
HUDA
Hudson Acquisition I Corp. Common Stock
HUDA
+$718K
5
NEN icon
New England Realty Associates
NEN
+$675K

Top Sells

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
+$1.11M
3
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$947K
4
PXSAP
Pyxis Tankers Inc. 7.75% Series A Cumulative Convertible Preferred Shares
PXSAP
+$694K
5
OAKUU
Oak Woods Acquisition Corp Unit
OAKUU
+$663K

Sector Composition

Rank Sector Weight
1 Financials 1.39%
2 Technology 0.29%
3 Real Estate 0.27%
4 Industrials 0.17%
5 Energy 0.11%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NEOVW icon
76
NeoVolta Inc Warrant
NEOVW
$913K
$126K 0.02%
229,125
+190,700
+496% +$104K
AIB
77
DELISTED
AIB Acquisition Corp
AIB
$124K 0.02%
11,424
+129
+1% +$1.38K
ISRL
78
DELISTED
Israel Acquisitions Corp
ISRL
$113K 0.02%
10,850
– –
CTLP
79
PUT
DELISTED
Cantaloupe
CTLP
$108K 0.02%
+13,600
New +$88.1K
AZTR icon
80
Azitra
AZTR
$2.15M
$106K 0.02%
+145
New +$126K
GRML
81
Greenland Mines Ltd
GRML
$29.2M
$105K 0.02%
+10,065
New +$105K
FGNX
82
FG Nexus Inc
FGNX
$41.6M
$105K 0.02%
+453
New +$122K
FSR
83
DELISTED
Fisker Inc.
FSR
$102K 0.02%
18,000
– –
PXSAW
84
DELISTED
Pyxis Tankers Inc Warrant
PXSAW
$99.1K 0.02%
89,264
-197,017
-69% -$240K
TIO
85
PUT
DELISTED
Tingo Group, Inc. Common Stock
TIO
$98.5K 0.02%
+81,400
New +$184K
DFSCW
86
DEFSEC Technologies Warrant
DFSCW
$85.1K 0.01%
189,146
+51,956
+38% +$22.5K
DRCTW
87
DELISTED
Direct Digital Holdings, Inc. Warrant
DRCTW
$85K 0.01%
130,740
-2,642
-2% -$1.74K
AENT icon
88
Alliance Entertainment
AENT
$276M
$80.7K 0.01%
+30,000
New +$76.5K
PETVW
89
DELISTED
PetVivo Holdings, Inc. Warrant
PETVW
$68.6K 0.01%
253,127
-5,081
-2% -$2.21K
NXPLW
90
DELISTED
NextPlat Corp Warrants
NXPLW
$65.8K 0.01%
71,308
-32,811
-32% -$34.7K
ZIVOW
91
DELISTED
Zivo Bioscience, Inc. Warrants
ZIVOW
$64.5K 0.01%
107,463
-4,700
-4% -$2.89K
TIO
92
CALL
DELISTED
Tingo Group, Inc. Common Stock
TIO
$61.5K 0.01%
+50,800
New +$115K
AMC icon
93
CALL
AMC Entertainment Holdings
AMC
$2.52B
$57.2K 0.01%
+1,300
New +$64.2K
SGE
94
DELISTED
Strong Global Entertainment, Inc.
SGE
$55.9K 0.01%
+18,759
New +$62.7K
MIR.WS
95
DELISTED
Mirion Technologies, Inc. Redeemable Warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50
MIR.WS
$54.8K 0.01%
30,096
– –
HHRSW
96
DELISTED
Hammerhead Energy Inc. Warrant
HHRSW
$53.6K 0.01%
+38,000
New +$43.2K
TBLT
97
DELISTED
ToughBuilt Industries, Inc. Common Stock
TBLT
$50.1K 0.01%
+2,584
New +$143K
BFRGW icon
98
Bullfrog AI Holdings Warrants
BFRGW
$49.4K 0.01%
69,086
-59,107
-46% -$53.5K
SVREW
99
SaverOne 2014 Ltd Warrant
SVREW
$48.9K
$44.3K 0.01%
201,104
+1,607
+0.8% +$319
BOF icon
100
BranchOut Food
BOF
$59.9M
$42.3K 0.01%
+13,000
New +$50.4K
2 3
4
5 6

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GP
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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 Q2 2023 Portfolio in Review

As of Q2 2023, Warberg Asset Management held 314 positions worth $603M, up 19% from $507M the previous quarter. Its ten largest holdings account for 72% of the portfolio.

Warberg Asset Management withdrew a net $108M in Q2 2023, closing 75 positions and reducing 48 holdings. Its most notable exit was iShares Ultra Short Duration Bond Active ETF, an estimated $1.54M position sold in full.

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

Against the trend, Warberg Asset Management opened a new position in EPR Properties 5.75% Series C Preferred Shares worth $814K.

  • Warberg Asset Management's largest Q2 2023 buy was EPR Properties 5.75% Series C Preferred Shares: 38,600 shares worth $814K.
  • Warberg Asset Management added most to Hertz Global Holdings Warrants in Q2 2023, an estimated $1.67M increase.
  • Warberg Asset Management's biggest Q2 2023 reduction was Occidental Petroleum Corp Warrants, cutting an estimated $947K.
  • Warberg Asset Management fully exited iShares Ultra Short Duration Bond Active ETF in Q2 2023, selling an estimated $1.54M.
  • Warberg Asset Management's ten largest holdings make up 72% of its $603M portfolio in Q2 2023.
  • Warberg Asset Management opened 63 new positions and closed 75 in Q2 2023.
  • Warberg Asset Management's portfolio value rose 19% quarter-over-quarter to $603M.

Based on Warberg Asset Management's 13F filing for Q2 2023, filed 9 Aug 2023.