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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
+5.76%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$516M
AUM Growth
+$215M
Cap. Flow
-$47.8M
Cap. Flow %
-9.26%
Top 10 Hldgs %
55.42%
Holding
238
New
71
Increased
20
Reduced
27
Closed
43

Top Buys

Rank Stock Value
1
WSC icon
WillScot Mobile Mini Holdings
WSC
+$3.77M
2
WTRU
Essential Utilities, Inc.6.00% Tangible Equity Units
WTRU
+$1.58M
3
CFXA
Colfax Corporation 5.75% Tangible Equity Units
CFXA
+$1.22M
4
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$930K
5
TWNKW
Hostess Brands, Inc. Warrants
TWNKW
+$912K

Top Sells

Rank Stock Value
1
CCL icon
Carnival Corporation Ltd
CCL
+$3.17M
2
SJIU
South Jersey Industries, Inc.
SJIU
+$1.28M
3
GCMGW
GCM Grosvenor Inc Warrant
GCMGW
+$1.16M
4
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$677K
5
CHNGU
Change Healthcare Inc. Tangible Equity Units
CHNGU
+$645K

Sector Composition

Rank Sector Weight
1 Industrials 0.76%
2 Financials 0.64%
3 Technology 0.23%
4 Healthcare 0.21%
5 Consumer Discretionary 0.17%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
HCDIW
101
DELISTED
Harbor Custom Development, Inc. Warrant
HCDIW
$76K 0.01%
+120,240
New +$84.6K
NXPLW
102
DELISTED
NextPlat Corp Warrants
NXPLW
$65K 0.01%
+36,900
New +$54.4K
AUUDW
103
DELISTED
Auddia Inc Warrants
AUUDW
$60K 0.01%
+32,000
New +$19.9K
ASM
104
Avino Silver & Gold Mines
ASM
$932M
$59K 0.01%
50,000
-6,242
-11% -$7.93K
BCTXW
105
DELISTED
BriaCell Therapeutics Corp Warrant
BCTXW
$58K 0.01%
32,000
-27,400
-46% -$34.2K
VRMEW
106
DELISTED
VerifyMe, Inc. Warrant
VRMEW
$52K 0.01%
37,108
-1,474
-4% -$2.04K
HCDI
107
DELISTED
Harbor Custom Development, Inc. Common Stock
HCDI
$50K 0.01%
+779
New +$51.1K
ZIVOW
108
DELISTED
Zivo Bioscience, Inc. Warrants
ZIVOW
$45K 0.01%
+30,000
New +$39.6K
ENTXW
109
DELISTED
Entera Bio Ltd. Warrant
ENTXW
$45K 0.01%
45,001
+9,744
+28% +$4.76K
NLSPW
110
DELISTED
NLS Pharmaceutics Warrant
NLSPW
$44K 0.01%
40,111
+5,111
+15% +$4.53K
HYMCL
111
DELISTED
Hycroft Mining Holding Corp Warrants
HYMCL
$43K 0.01%
51,158
+26,758
+110% +$19.7K
COMSW
112
DELISTED
COMSovereign Holding Corp. Warrants
COMSW
$41K 0.01%
35,000
-37,058
-51% -$44K
SLNO
113
DELISTED
Soleno Therapeutics
SLNO
$34K 0.01%
2,000
– –
IMACW
114
DELISTED
IMAC Holdings, Inc. Warrant
IMACW
$33K 0.01%
65,625
-36,735
-36% -$18.9K
PBLA
115
DELISTED
Panbela Therapeutics, Inc. Common Stock
PBLA
– –
0
– –
JOB icon
116
GEE Group
JOB
$22.7M
$31K 0.01%
+54,000
New +$36K
ADVWW
117
DELISTED
Advantage Solutions Warrant
ADVWW
$30K 0.01%
+12,000
New +$39.4K
GOVXW
118
DELISTED
GeoVax Labs Warrants
GOVXW
$22K ﹤0.01%
16,302
+4,250
+35% +$5.44K
PXS icon
119
Pyxis Tankers
PXS
$48.8M
$22K ﹤0.01%
6,250
+1,250
+25% +$4.41K
SEAC
120
DELISTED
Seachange International Inc
SEAC
$20K ﹤0.01%
770
-130
-14% -$3.07K
PXSAW
121
DELISTED
Pyxis Tankers Inc Warrant
PXSAW
$19K ﹤0.01%
47,045
-12,352
-21% -$4.69K
MDGSW
122
DELISTED
Medigus Ltd. Series C Warrant
MDGSW
$19K ﹤0.01%
32,900
-4,100
-11% -$2.75K
SBEV.WS
123
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
$15K ﹤0.01%
+13,512
New +$11.9K
CELUW
124
DELISTED
Celularity Inc
CELUW
$14K ﹤0.01%
+10,000
New +$12K
LIXTW
125
DELISTED
Lixte Biotechnology Warrants
LIXTW
$11K ﹤0.01%
14,354
-12,246
-46% -$8.73K
3 4
5
6 7

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Warberg Asset Management's Q2 2021 Portfolio in Review

As of Q2 2021, Warberg Asset Management held 238 positions worth $516M, up 71% from $301M the previous quarter. Its ten largest holdings account for 55% of the portfolio.

Warberg Asset Management withdrew a net $47.8M in Q2 2021, closing 43 positions and reducing 27 holdings. Its most notable exit was Carnival Corporation Ltd, an estimated $3.17M position sold in full.

By sector, the portfolio is most concentrated in Industrials at 0.76% of assets, up from 0.03% a quarter earlier, followed by Financials and Technology.

Against the trend, Warberg Asset Management opened a new position in WillScot Mobile Mini Holdings worth $3.65M.

  • Warberg Asset Management's largest Q2 2021 buy was WillScot Mobile Mini Holdings: 131,149 shares worth $3.65M.
  • Warberg Asset Management added most to Hostess Brands, Inc. Warrants in Q2 2021, an estimated $912K increase.
  • Warberg Asset Management's biggest Q2 2021 reduction was GCM Grosvenor Inc Warrant, cutting an estimated $1.16M.
  • Warberg Asset Management fully exited Carnival Corporation Ltd in Q2 2021, selling an estimated $3.17M.
  • Warberg Asset Management's ten largest holdings make up 55% of its $516M portfolio in Q2 2021.
  • Warberg Asset Management opened 71 new positions and closed 43 in Q2 2021.
  • Warberg Asset Management's portfolio value rose 71% quarter-over-quarter to $516M.

Based on Warberg Asset Management's 13F filing for Q2 2021, filed 16 Aug 2021.