WAM

Warberg Asset Management Portfolio holdings

AUM $333M
1-Year Est. Return 11.83%
This Fund
S&P 500
This Quarter Est. Return
1 Year Est. Return
+11.83%
3 Year Est. Return
5 Year Est. Return
10 Year Est. Return
AUM
$347M
AUM Growth
+$27.9M
Cap. Flow
Cap. Flow %
Top 10 Hldgs %
Holding
243
New
Increased
Reduced
Closed

Top Buys

1
+$3.67M
2
+$2.21M
3
+$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

1
+$5.03M
2
+$2.17M
3
+$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

1 Financials 1.04%
2 Consumer Discretionary 0.79%
3 Industrials 0.63%
4 Technology 0.22%
5 Real Estate 0.21%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
101
$23K 0.01%
45,001
102
$23K 0.01%
+457
103
$22K 0.01%
13,657
-53,222
104
$20K 0.01%
35,996
+21,642
105
$19K 0.01%
+23,250
106
$18K 0.01%
51,158
107
$17K ﹤0.01%
+20,000
108
$16K ﹤0.01%
770
109
$14K ﹤0.01%
30,000
-24,000
110
$10K ﹤0.01%
+731
111
$9K ﹤0.01%
18,450
-14,450
112
$9K ﹤0.01%
+13,131
113
$7K ﹤0.01%
16,660
-18,340
114
$5K ﹤0.01%
10,000
115
$5K ﹤0.01%
+10,000
116
– –
0
117
– –
-12,000
118
– –
0
119
– –
0
120
– –
0
121
– –
0
122
– –
-50,000
123
– –
0
124
– –
-473
125
– –
0
3 4
5
6 7