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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
+1.57%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$617M
AUM Growth
+$101M
Cap. Flow
-$159M
Cap. Flow %
-25.85%
Top 10 Hldgs %
61.15%
Holding
231
New
51
Increased
29
Reduced
33
Closed
34

Top Buys

Rank Stock Value
1
EXEEW
Expand Energy Corp Class A Warrants
EXEEW
+$3.67M
2
MUDS
Mudrick Capital Acquisition Corporation II Class A Common Stock
MUDS
+$2.21M
3
QQQ icon
Invesco QQQ Trust
QQQ
+$1.84M
4
PAVMZ
PAVmed Inc. Series Z Warrant
PAVMZ
+$1.82M
5
NEE.PRP
NextEra Energy, Inc. 5.279% Corporate Units
NEE.PRP
+$1.57M

Top Sells

Rank Stock Value
1
TWNKW
Hostess Brands, Inc. Warrants
TWNKW
+$5.03M
2
WSC icon
WillScot Mobile Mini Holdings
WSC
+$2.17M
3
CFXA
Colfax Corporation 5.75% Tangible Equity Units
CFXA
+$1.25M
4
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$907K
5
POL.WS
Polished.com Inc. Warrants to Purchase Common Stock
POL.WS
+$478K

Sector Composition

Rank Sector Weight
1 Financials 0.58%
2 Consumer Discretionary 0.44%
3 Industrials 0.35%
4 Technology 0.13%
5 Real Estate 0.12%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
JRSH icon
101
Jerash Holdings
JRSH
$59.7M
$67K 0.01%
+10,000
New +$75.1K
HPKEW
102
DELISTED
HighPeak Energy, Inc. Warrant
HPKEW
$66K 0.01%
+29,479
New +$69.1K
HCDIW
103
DELISTED
Harbor Custom Development, Inc. Warrant
HCDIW
$54K 0.01%
96,000
-24,240
-20% -$17.3K
AUUDW
104
DELISTED
Auddia Inc Warrants
AUUDW
$52K 0.01%
69,800
+37,800
+118% +$36.8K
DBGIW
105
DELISTED
Digital Brands Group, Inc. Warrant
DBGIW
$52K 0.01%
679
+161
+31% +$18.8K
PETVW
106
DELISTED
PetVivo Holdings, Inc. Warrant
PETVW
$50K 0.01%
+65,180
New +$55.3K
GOVXW
107
DELISTED
GeoVax Labs Warrants
GOVXW
$49K 0.01%
35,000
+18,698
+115% +$27K
IKT icon
108
Inhibikase Therapeutics
IKT
$347M
$49K 0.01%
4,333
-10,667
-71% -$144K
NXPLW
109
DELISTED
NextPlat Corp Warrants
NXPLW
$45K 0.01%
16,000
-20,900
-57% -$63.6K
ALZN icon
110
Alzamend Neuro
ALZN
$6.42M
$43K 0.01%
+10
New +$55K
ZIVOW
111
DELISTED
Zivo Bioscience, Inc. Warrants
ZIVOW
$40K 0.01%
40,000
+10,000
+33% +$11.4K
PXS icon
112
Pyxis Tankers
PXS
$49.7M
$38K 0.01%
12,500
+6,250
+100% +$18.7K
VERBW
113
DELISTED
Verb Technology Company, Inc. Warrant
VERBW
$38K 0.01%
+55,157
New +$42.6K
LEGOW
114
DELISTED
Legato Merger Corp. Warrant
LEGOW
$38K 0.01%
+15,000
New +$34.8K
KRBP
115
DELISTED
Kiromic BioPharma, Inc. Common Stock
KRBP
$37K 0.01%
400
-1,700
-81% -$176K
RCAT icon
116
Red Cat Holdings
RCAT
$1.26B
$35K 0.01%
+10,000
New +$31K
AGRIW
117
DELISTED
AgriFORCE Growing Systems Ltd Warrant
AGRIW
$32K 0.01%
+57,461
New +$45.8K
MITA
118
DELISTED
Coliseum Acquisition Corp. Class A Ordinary Share
MITA
$30K ﹤0.01%
+15,000
New +$146K
NLSPW
119
DELISTED
NLS Pharmaceutics Warrant
NLSPW
$29K ﹤0.01%
35,480
-4,631
-12% -$4.29K
SHIP icon
120
Seanergy Maritime Holdings
SHIP
$394M
$29K ﹤0.01%
+2,000
New +$23.4K
SLNO
121
DELISTED
Soleno Therapeutics
SLNO
$28K ﹤0.01%
2,000
– –
GOEVW
122
DELISTED
Canoo Inc. Warrant
GOEVW
$28K ﹤0.01%
15,000
-27,000
-64% -$51.7K
IMACW
123
DELISTED
IMAC Holdings, Inc. Warrant
IMACW
$28K ﹤0.01%
66,215
+590
+0.9% +$255
QTEXW
124
DELISTED
QTREX Quantum Warrant
QTEXW
$26K ﹤0.01%
+31,100
New +$30.6K
PXSAW
125
DELISTED
Pyxis Tankers Inc Warrant
PXSAW
$25K ﹤0.01%
97,485
+50,440
+107% +$14K
3 4
5
6 7

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Warberg Asset Management's Q3 2021 Portfolio in Review

As of Q3 2021, Warberg Asset Management held 231 positions worth $617M, up 20% from $516M the previous quarter. Its ten largest holdings account for 61% of the portfolio.

Warberg Asset Management withdrew a net $159M in Q3 2021, closing 34 positions and reducing 33 holdings. Its most notable exit was Colfax Corporation 5.75% Tangible Equity Units, an estimated $1.25M position sold in full.

By sector, the portfolio is most concentrated in Financials at 0.58% of assets, down from 0.64% a quarter earlier, followed by Consumer Discretionary and Industrials.

Against the trend, Warberg Asset Management opened a new position in Expand Energy Corp Class A Warrants worth $4.29M.

  • Warberg Asset Management's largest Q3 2021 buy was Expand Energy Corp Class A Warrants: 118,000 shares worth $4.29M.
  • Warberg Asset Management added most to Mudrick Capital Acquisition Corporation II Class A Common Stock in Q3 2021, an estimated $2.21M increase.
  • Warberg Asset Management's biggest Q3 2021 reduction was Hostess Brands, Inc. Warrants, cutting an estimated $5.03M.
  • Warberg Asset Management fully exited Colfax Corporation 5.75% Tangible Equity Units in Q3 2021, selling an estimated $1.25M.
  • Warberg Asset Management's ten largest holdings make up 61% of its $617M portfolio in Q3 2021.
  • Warberg Asset Management opened 51 new positions and closed 34 in Q3 2021.
  • Warberg Asset Management's portfolio value rose 20% quarter-over-quarter to $617M.

Based on Warberg Asset Management's 13F filing for Q3 2021, filed 15 Nov 2021.