WAM

Warberg Asset Management Portfolio holdings

AUM $408M
This Quarter Return
+0.78%
1 Year Return
+10.11%
3 Year Return
+19.63%
5 Year Return
–
10 Year Return
–
AUM
$332M
AUM Growth
+$332M
Cap. Flow
+$38.9M
Cap. Flow %
11.71%
Top 10 Hldgs %
46.31%
Holding
262
New
46
Increased
9
Reduced
40
Closed
42

Top Buys

1
AVTR.PRA
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
$16.3M
2
DHR.PRA
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
$16M
3
EXEEZ
Expand Energy Corporation Class B Warrants
EXEEZ
$3.82M
4
EXEEW
Expand Energy Corporation Class A Warrants
EXEEW
$3.68M
5
AVGOP
Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A
AVGOP
$3.06M

Top Sells

1
QQQ icon
Invesco QQQ Trust
QQQ
$1.79M
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

1 Financials 0.81%
2 Consumer Discretionary 0.34%
3 Healthcare 0.33%
4 Technology 0.26%
5 Real Estate 0.1%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
DBGIW
101
DELISTED
Digital Brands Group, Inc. Warrant
DBGIW
$17K ﹤0.01% 32,503 -35,397 -52% -$18.5K
BEATW icon
102
Heartbeam, Inc. Warrant
BEATW
$14K ﹤0.01% +18,638 New +$14K
CRTDW
103
DELISTED
Creatd Inc. Warrant
CRTDW
$14K ﹤0.01% 24,545 +11,414 +87% +$6.51K
LVO icon
104
LiveOne
LVO
$63.4M
$13K ﹤0.01% +10,000 New +$13K
SBEV.WS
105
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
$13K ﹤0.01% 40,712 -4,200 -9% -$1.34K
SPIR.WS
106
DELISTED
Spire Global, Inc. Warrants, each whole warrant exercisable for one share of Class A Common Stock at an exercise price of $11.50 per whole share
SPIR.WS
$13K ﹤0.01% 29,800 -15,570 -34% -$6.79K
PXS icon
107
Pyxis Tankers
PXS
$29.3M
$12K ﹤0.01% 25,001 -24,999 -50% -$12K
PXSAW
108
Pyxis Tankers Inc. Warrant
PXSAW
$12K ﹤0.01% 81,744 -15,741 -16% -$2.31K
GROMW
109
DELISTED
Grom Social Enterprises Inc. Warrants
GROMW
$12K ﹤0.01% 24,022 -137,078 -85% -$68.5K
JOB icon
110
GEE Group
JOB
$21.5M
$9K ﹤0.01% 15,001 -14,999 -50% -$9K
ATXI
111
DELISTED
Avenue Therapeutics, Inc. Common Stock
ATXI
$9K ﹤0.01% +10,001 New +$9K
CLVRW
112
DELISTED
Clever Leaves Holdings Inc. Warrant
CLVRW
$9K ﹤0.01% 18,686 -148,664 -89% -$71.6K
CRXTW
113
DELISTED
Clarus Therapeutics Holdings, Inc. Warrants
CRXTW
$9K ﹤0.01% 32,502 -107,338 -77% -$29.7K
ABEO icon
114
Abeona Therapeutics
ABEO
$350M
$8K ﹤0.01% +23,200 New +$8K
LIXTW icon
115
Lixte Biotechnology Holdings, Inc. Warrants
LIXTW
$301K
$8K ﹤0.01% 17,934 -18,062 -50% -$8.06K
SHPWW
116
DELISTED
Shapeways Holdings, Inc. Warrants
SHPWW
$8K ﹤0.01% +14,669 New +$8K
IMACW
117
DELISTED
IMAC Holdings, Inc. Warrant
IMACW
$6K ﹤0.01% 24,313 -41,902 -63% -$10.3K
GMVDW
118
DELISTED
G Medical Innovations Holdings Ltd. Warrants
GMVDW
$4K ﹤0.01% 12,801 -12,799 -50% -$4K
ENTXW
119
DELISTED
Entera Bio Ltd. Warrant
ENTXW
$4K ﹤0.01% 14,047 -30,954 -69% -$8.81K
NKLA
120
DELISTED
Nikola Corporation Common Stock
NKLA
– – 0 – –
AAPL icon
121
Apple
AAPL
$3.45T
– – 0 – –
AHT
122
Ashford Hospitality Trust
AHT
$36.7M
– – 0 – –
ALZN icon
123
Alzamend Neuro
ALZN
$7.66M
– – -14,000 Closed -$43K
ARKK icon
124
ARK Innovation ETF
ARKK
$7.45B
– – 0 – –
AUUDW
125
Auddia Inc Warrants
AUUDW
$78.8K
– – -69,800 Closed -$52K
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5
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