WAM

Warberg Asset Management Portfolio holdings

AUM $357M
1-Year Est. Return 16.73%
This Quarter Est. Return
1 Year Est. Return
+16.73%
3 Year Est. Return
5 Year Est. Return
10 Year Est. Return
AUM
$204M
AUM Growth
-$84.8M
Cap. Flow
Cap. Flow %
Top 10 Hldgs %
Holding
213
New
Increased
Reduced
Closed

Top Buys

1
+$1.39M
2
+$1.28M
3
+$1.26M
4
SSSS icon
SuRo Capital
SSSS
+$1.15M
5
TWNKW
Hostess Brands, Inc. Warrants
TWNKW
+$865K

Top Sells

1
+$1.44M
2
+$718K
3
+$603K
4
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$536K
5
ALTG.WS
Alta Equipment Group Warrants
ALTG.WS
+$508K

Sector Composition

1 Consumer Discretionary 1.64%
2 Financials 1.07%
3 Technology 0.37%
4 Real Estate 0.15%
5 Healthcare 0.1%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
101
– –
0
102
– –
0
103
– –
0
104
– –
0
105
– –
0
106
– –
0
107
– –
0
108
– –
-234
109
– –
0
110
– –
0
111
– –
0
112
– –
-56
113
– –
-325
114
– –
-2
115
– –
-21,740
116
– –
0
117
– –
0
118
– –
-11,777
119
– –
-1,594
120
– –
0
121
– –
-7,638
122
– –
-14,375
123
– –
-12,800
124
– –
-15,577
125
– –
-14,000
2 3 4
5
6