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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
+0.84%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$301M
AUM Growth
-$107M
Cap. Flow
-$177M
Cap. Flow %
-58.87%
Top 10 Hldgs %
48.48%
Holding
214
New
39
Increased
18
Reduced
31
Closed
60

Top Buys

Rank Stock Value
1
GCMGW
GCM Grosvenor Inc Warrant
GCMGW
+$1.72M
2
IEAWW
Infrastructure and Energy Alternatives, Inc. Warrant
IEAWW
+$1.65M
3
SJIU
South Jersey Industries, Inc.
SJIU
+$1.34M
4
NSLR
Neostellar Capital Corp
NSLR
+$1.18M
5
TWNKW
Hostess Brands, Inc. Warrants
TWNKW
+$979K

Top Sells

Rank Stock Value
1
NCLH icon
Norwegian Cruise Line
NCLH
+$1.44M
2
PSTH
Pershing Square Tontine Holdings, Ltd.
PSTH
+$838K
3
GRWG icon
GrowGeneration
GRWG
+$603K
4
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$536K
5
ALTG.WS
Alta Equipment Group Warrants
ALTG.WS
+$369K

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 1.11%
2 Financials 0.72%
3 Technology 0.25%
4 Real Estate 0.1%
5 Healthcare 0.07%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BKKT icon
101
Bakkt Inc
BKKT
$329M
– –
-576
Closed -$145K
BNTC icon
102
Benitec Biopharma
BNTC
$417M
– –
-588
Closed -$30K
BURU
103
DELISTED
NUBURU INC
BURU
– –
-51
Closed -$106K
CLNNW
104
DELISTED
Clene Inc Warrant
CLNNW
– –
-14,000
Closed -$7K
CNSP icon
105
CNS Pharmaceuticals
CNSP
$8.46M
– –
0
– -$25K
CODX
106
PUT
Co-Diagnostics
CODX
$5.45M
– –
-400
Closed -$112K
CTXR icon
107
Citius Pharmaceuticals
CTXR
$16.4M
– –
-800
Closed -$20K
F icon
108
CALL
Ford
F
$57.5B
– –
-20,000
Closed -$176K
GOTU icon
109
PUT
Gaotu Techedu
GOTU
$458M
– –
-6,000
Closed -$310K
GRWG icon
110
GrowGeneration
GRWG
$88.3M
– –
-15,000
Closed -$603K
GRWG icon
111
PUT
GrowGeneration
GRWG
$88.3M
– –
-45,000
Closed -$1.81M
HLMN icon
112
Hillman Solutions
HLMN
$1.63B
– –
-10,143
Closed -$106K
HUMA icon
113
Humacyte
HUMA
$186M
– –
-12,999
Closed -$132K
HYMC icon
114
Hycroft Mining Holding Corp
HYMC
$1.92B
– –
-1,328
Closed -$104K
IWM icon
115
PUT
iShares Russell 2000 ETF
IWM
$81.5B
– –
-15,000
Closed -$2.94M
JPM icon
116
CALL
JPMorgan Chase
JPM
$937B
– –
-35,000
Closed -$4.45M
NBR icon
117
CALL
Nabors Industries
NBR
$1.25B
– –
-40,000
Closed -$2.33M
NCLH icon
118
Norwegian Cruise Line
NCLH
$9.07B
– –
-56,500
Closed -$1.44M
NCLH icon
119
PUT
Norwegian Cruise Line
NCLH
$9.07B
– –
-56,600
Closed -$1.44M
NDRA icon
120
ENDRA Life Sciences
NDRA
$5.31M
– –
-1
Closed -$15K
NIO icon
121
PUT
NIO
NIO
$12.1B
– –
-13,000
Closed -$634K
POWW icon
122
Outdoor Holding Co
POWW
$253M
– –
-10,000
Closed -$33K
QQQ icon
123
CALL
Invesco QQQ Trust
QQQ
$469B
– –
-10,000
Closed -$3.14M
QQQ icon
124
PUT
Invesco QQQ Trust
QQQ
$469B
– –
-7,000
Closed -$2.2M
TSLA icon
125
CALL
Tesla
TSLA
$1.27T
– –
-15,000
Closed -$3.53M
3 4
5
6 7

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Warberg Asset Management's Q1 2021 Portfolio in Review

As of Q1 2021, Warberg Asset Management held 214 positions worth $301M, down 26% from $408M the previous quarter. Its ten largest holdings account for 48% of the portfolio.

Warberg Asset Management withdrew a net $177M in Q1 2021, closing 60 positions and reducing 31 holdings. Its most notable exit was Norwegian Cruise Line, an estimated $1.44M position sold in full.

By sector, the portfolio is most concentrated in Consumer Discretionary at 1.1% of assets, down from 1.3% a quarter earlier, followed by Financials and Technology.

Against the trend, Warberg Asset Management opened a new position in South Jersey Industries, Inc. worth $1.28M.

  • Warberg Asset Management's largest Q1 2021 buy was South Jersey Industries, Inc.: 33,225 shares worth $1.28M.
  • Warberg Asset Management added most to GCM Grosvenor Inc Warrant in Q1 2021, an estimated $1.72M increase.
  • Warberg Asset Management's biggest Q1 2021 reduction was Pershing Square Tontine Holdings, Ltd., cutting an estimated $838K.
  • Warberg Asset Management fully exited Norwegian Cruise Line in Q1 2021, selling an estimated $1.44M.
  • Warberg Asset Management's ten largest holdings make up 48% of its $301M portfolio in Q1 2021.
  • Warberg Asset Management opened 39 new positions and closed 60 in Q1 2021.
  • Warberg Asset Management's portfolio value fell 26% quarter-over-quarter to $301M.

Based on Warberg Asset Management's 13F filing for Q1 2021, filed 17 May 2021.