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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
+1.31%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$540M
AUM Growth
-$77.1M
Cap. Flow
-$263M
Cap. Flow %
-48.78%
Top 10 Hldgs %
59.86%
Holding
253
New
57
Increased
12
Reduced
52
Closed
53

Top Buys

Rank Stock Value
1
AVTR.PRA
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
+$15.3M
2
DHR.PRA
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
+$15.2M
3
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$3.64M
4
EXEEW
Expand Energy Corp Class A Warrants
EXEEW
+$3.52M
5
AVGOP
Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A
AVGOP
+$2.58M

Top Sells

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$1.93M
2
WSC icon
WillScot Mobile Mini Holdings
WSC
+$1.78M
3
NEE.PRP
NextEra Energy, Inc. 5.279% Corporate Units
NEE.PRP
+$1.53M
4
IEAWW
Infrastructure and Energy Alternatives, Inc. Warrant
IEAWW
+$1.51M
5
MUDS
Mudrick Capital Acquisition Corporation II Class A Common Stock
MUDS
+$1.39M

Sector Composition

Rank Sector Weight
1 Financials 0.5%
2 Consumer Discretionary 0.21%
3 Healthcare 0.2%
4 Technology 0.16%
5 Real Estate 0.06%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GAME icon
101
CALL
GameSquare
GAME
$35.8M
$46K 0.01%
+3,750
New +$55.6K
CINGW icon
102
Cingulate Inc Warrants
CINGW
$39.6K
$40K 0.01%
+56,667
New +$41.5K
NRSN icon
103
NeuroSense Therapeutics
NRSN
$16.9M
$38K 0.01%
+15,501
New +$47.2K
CELUW
104
DELISTED
Celularity Inc
CELUW
$37K 0.01%
43,603
-41,544
-49% -$42.1K
BKSY.WS icon
105
BlackSky Technology Inc Warrants
BKSY.WS
$442K
$35K 0.01%
63,865
-62,895
-50% -$83.3K
EZRAW
106
DELISTED
Reliance Global Series A Warrants
EZRAW
$34K 0.01%
+30,156
New +$16.4K
SYTAW
107
DELISTED
Siyata Mobile Warrant
SYTAW
$34K 0.01%
+42,426
New +$36.3K
SURGW
108
DELISTED
SurgePays, Inc. Warrant
SURGW
$34K 0.01%
+60,000
New +$42.7K
PETVW
109
DELISTED
PetVivo Holdings, Inc. Warrant
PETVW
$34K 0.01%
60,508
-4,672
-7% -$3.04K
AUVI
110
DELISTED
Applied UV, Inc. Common Stock
AUVI
$34K 0.01%
+100
New +$62.2K
GFAIW icon
111
Guardforce AI Warrant
GFAIW
$93.3K
$31K 0.01%
61,500
+38,250
+165% +$25.7K
TALKW
112
DELISTED
Talkspace Inc Warrant
TALKW
$29K 0.01%
+125,002
New +$60.4K
BBLGW
113
Bone Biologics Corp Warrants
BBLGW
$26.2M
$27K 0.01%
+1,300
New +$32.4K
RBOT.WS
114
DELISTED
Vicarious Surgical Inc Warrants
RBOT.WS
$26K ﹤0.01%
+12,000
New +$24.5K
AP.WS
115
DELISTED
Ampco-Pittsburgh Corp Series A Warrants
AP.WS
$25K ﹤0.01%
42,401
-42,399
-50% -$31.7K
BTBDW icon
116
BT Brands Warrant
BTBDW
$143K
$24K ﹤0.01%
+32,737
New +$32K
TMC icon
117
CALL
TMC The Metals Company
TMC
$1.59B
$23K ﹤0.01%
+11,100
New +$33.6K
WKSPW
118
DELISTED
Worksport, Ltd. Warrant
WKSPW
$23K ﹤0.01%
25,778
-47,222
-65% -$63.1K
MOBQW
119
DELISTED
Mobiquity Technologies, Inc. Warrant
MOBQW
$23K ﹤0.01%
+42,501
New +$29.2K
DRMAW icon
120
Dermata Therapeutics Warrant
DRMAW
$14.1K
$22K ﹤0.01%
51,399
-48,601
-49% -$38.2K
ADTX
121
DELISTED
ADITXT INC
ADTX
– –
0
– –
GOVXW
122
DELISTED
GeoVax Labs Warrants
GOVXW
$20K ﹤0.01%
21,087
-13,913
-40% -$17.2K
PL.WS
123
DELISTED
Planet Labs PBC Warrants
PL.WS
$19K ﹤0.01%
+10,000
New +$21.9K
SQLLW
124
DELISTED
SeqLL Inc. Warrant
SQLLW
$19K ﹤0.01%
22,795
-84,250
-79% -$89.5K
QTEXW
125
DELISTED
QTREX Quantum Warrant
QTEXW
$18K ﹤0.01%
20,001
-11,099
-36% -$10.2K
3 4
5
6 7

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Warberg Asset Management's Q4 2021 Portfolio in Review

As of Q4 2021, Warberg Asset Management held 253 positions worth $540M, down 13% from $617M the previous quarter. Its ten largest holdings account for 60% of the portfolio.

Warberg Asset Management withdrew a net $263M in Q4 2021, closing 53 positions and reducing 52 holdings. Its most notable exit was Invesco QQQ Trust, an estimated $1.93M position sold in full.

By sector, the portfolio is most concentrated in Financials at 0.5% of assets, down from 0.58% a quarter earlier, followed by Consumer Discretionary and Healthcare.

Against the trend, Warberg Asset Management opened a new position in Avantor, Inc. Series A Mandatory Convertible Preferred Stock worth $16.3M.

  • Warberg Asset Management's largest Q4 2021 buy was Avantor, Inc. Series A Mandatory Convertible Preferred Stock: 126,255 shares worth $16.3M.
  • Warberg Asset Management added most to Expand Energy Corp Class A Warrants in Q4 2021, an estimated $3.52M increase.
  • Warberg Asset Management's biggest Q4 2021 reduction was Mudrick Capital Acquisition Corporation II Class A Common Stock, cutting an estimated $1.39M.
  • Warberg Asset Management fully exited Invesco QQQ Trust in Q4 2021, selling an estimated $1.93M.
  • Warberg Asset Management's ten largest holdings make up 60% of its $540M portfolio in Q4 2021.
  • Warberg Asset Management opened 57 new positions and closed 53 in Q4 2021.
  • Warberg Asset Management's portfolio value fell 13% quarter-over-quarter to $540M.

Based on Warberg Asset Management's 13F filing for Q4 2021, filed 14 Feb 2022.