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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
-1.72%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$455M
AUM Growth
-$194M
Cap. Flow
-$241M
Cap. Flow %
-52.97%
Top 10 Hldgs %
59.59%
Holding
296
New
69
Increased
53
Reduced
33
Closed
45

Top Buys

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$6.55M
2
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$6.29M
3
EXEEL
Expand Energy Corp Class C Warrants
EXEEL
+$6.04M
4
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$2.45M
5
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$2.27M

Top Sells

Rank Stock Value
1
DHR.PRA
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
+$26.2M
2
AVTR.PRA
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
+$13.4M
3
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$1.85M
4
SABRP
Sabre Corporation 6.50% Series A Mandatory Convertible Preferred Stock
SABRP
+$763K
5
RCA
Ready Capital Corporation 7.00% Convertible Senior Notes due 2023
RCA
+$743K

Sector Composition

Rank Sector Weight
1 Financials 0.95%
2 Real Estate 0.3%
3 Utilities 0.29%
4 Healthcare 0.2%
5 Technology 0.19%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SVREW
101
SaverOne 2014 Ltd Warrant
SVREW
$48.9K
$51K 0.01%
+146,052
New +$58.2K
PTIXW
102
DELISTED
Protagenic Therapeutics Warrant
PTIXW
$49K 0.01%
328,223
-33,843
-9% -$4.38K
FGIWW
103
FGI Industries Warrant
FGIWW
$189K
$48K 0.01%
119,574
+400
+0.3% +$159
BNCWW
104
CEA Industries Inc Warrant
BNCWW
$58.7K
$47K 0.01%
234,595
+128,232
+121% +$47.2K
IRD
105
Opus Genetics
IRD
$306M
$46K 0.01%
+24,200
New +$55K
EVFM
106
CALL
DELISTED
Evofem Biosciences, Inc. Common Stock
EVFM
$45K 0.01%
+40,000
New +$66K
STEX
107
Streamex Corp
STEX
$74M
$43K 0.01%
+6,500
New +$61.1K
EDBLW
108
Edible Garden AG Warrant
EDBLW
$42K 0.01%
+103,861
New +$42.7K
OWL.WS
109
DELISTED
Blue Owl Capital Inc. Redeemable Warrants, each whole warrant exercisable for one share of Class A C
OWL.WS
$42K 0.01%
20,000
– –
WTER
110
DELISTED
The Alkaline Water Company Inc. Common Stock
WTER
$40K 0.01%
+6,800
New +$59K
NRGV.WS
111
DELISTED
Energy Vault Holdings, Inc. Redeemable warrants, each whole warrant exercisable for shares of Common
NRGV.WS
$40K 0.01%
+26,721
New +$61.1K
EDBL
112
Edible Garden
EDBL
$1.49M
– –
0
– –
NRSNW icon
113
NeuroSense Therapeutics Warrant
NRSNW
$2.31M
$39K 0.01%
77,100
+53,104
+221% +$21.9K
SWAGW icon
114
Stran & Company Warrant
SWAGW
$39K 0.01%
154,575
+6,560
+4% +$2K
TCBP
115
DELISTED
TC BioPharm (Holdings) plc American Depositary Shares
TCBP
$36K 0.01%
+1
New +$148K
AP.WS
116
DELISTED
Ampco-Pittsburgh Corp Series A Warrants
AP.WS
$35K 0.01%
84,800
– –
CINGW icon
117
Cingulate Inc Warrants
CINGW
$47.1K
$35K 0.01%
110,032
– –
VRMEW
118
DELISTED
VerifyMe, Inc. Warrant
VRMEW
$35K 0.01%
50,558
-6,600
-12% -$4.83K
VRPX
119
DELISTED
Virpax Pharmaceuticals, Inc. Common Stock
VRPX
$33K 0.01%
78
+7
+10% +$2.87K
APCXW
120
DELISTED
AppTech Payments Corp Warrant
APCXW
$32K 0.01%
225,231
+43,679
+24% +$13.3K
KLR.WS
121
DELISTED
Kaleyra, Inc. Warrants, each whole Warrant exercisable for one share of Common Stock at an exercise price of $40.25 per share
KLR.WS
$31K 0.01%
147,257
-20,854
-12% -$10.3K
CMRAW
122
DELISTED
Comera Life Sciences Holdings, Inc. Warrant expiring 5/19/2027
CMRAW
$29K 0.01%
+202,000
New +$33.1K
BXRX
123
DELISTED
Baudax Bio, Inc. Common Stock
BXRX
$29K 0.01%
863
– –
AREBW
124
DELISTED
American Rebel Holdings Warrants
AREBW
$27K 0.01%
1,787
+342
+24% +$6.16K
LVO icon
125
LiveOne
LVO
$61M
$26K 0.01%
3,000
– –
3 4
5
6 7

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NPCM
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Warberg Asset Management's Q2 2022 Portfolio in Review

As of Q2 2022, Warberg Asset Management held 296 positions worth $455M, down 30% from $649M the previous quarter. Its ten largest holdings account for 60% of the portfolio.

Warberg Asset Management withdrew a net $241M in Q2 2022, closing 45 positions and reducing 33 holdings. Its most notable exit was Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A, an estimated $26.2M position sold in full.

By sector, the portfolio is most concentrated in Financials at 0.95% of assets, up from 0.47% a quarter earlier, followed by Real Estate and Utilities.

Against the trend, Warberg Asset Management opened a new position in State Street SPDR S&P 500 ETF Trust worth $6.04M.

  • Warberg Asset Management's largest Q2 2022 buy was State Street SPDR S&P 500 ETF Trust: 16,000 shares worth $6.04M.
  • Warberg Asset Management added most to Occidental Petroleum Corp Warrants in Q2 2022, an estimated $6.29M increase.
  • Warberg Asset Management's biggest Q2 2022 reduction was The Southern Company, cutting an estimated $555K.
  • Warberg Asset Management fully exited Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A in Q2 2022, selling an estimated $26.2M.
  • Warberg Asset Management's ten largest holdings make up 60% of its $455M portfolio in Q2 2022.
  • Warberg Asset Management opened 69 new positions and closed 45 in Q2 2022.
  • Warberg Asset Management's portfolio value fell 30% quarter-over-quarter to $455M.

Based on Warberg Asset Management's 13F filing for Q2 2022, filed 11 Aug 2022.