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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
+1.52%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$638M
AUM Growth
+$60.1M
Cap. Flow
-$164M
Cap. Flow %
-25.73%
Top 10 Hldgs %
75.41%
Holding
356
New
64
Increased
35
Reduced
46
Closed
83

Top Buys

Rank Stock Value
1
SJIV
South Jersey Industries, Inc. Corporate Units
SJIV
+$9.41M
2
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$1.65M
3
HTZWW
Hertz Global Holdings Warrants
HTZWW
+$724K
4
ELAT
Elanco Animal Health Incorporated 5.00% Tangible Equity Units
ELAT
+$712K
5
PXSAP
Pyxis Tankers Inc. 7.75% Series A Cumulative Convertible Preferred Shares
PXSAP
+$691K

Top Sells

Rank Stock Value
1
EXEEW
Expand Energy Corp Class A Warrants
EXEEW
+$34.5M
2
EXEEL
Expand Energy Corp Class C Warrants
EXEEL
+$24.2M
3
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$18.5M
4
QQQ icon
Invesco QQQ Trust
QQQ
+$8.3M
5
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$8.07M

Sector Composition

Rank Sector Weight
1 Financials 1.2%
2 Technology 0.39%
3 Real Estate 0.28%
4 Healthcare 0.22%
5 Industrials 0.17%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GSD
101
DELISTED
Global Systems Dynamics Inc. Class A Common Stock
GSD
$113K 0.02%
10,922
+95
+0.9% +$971
MARA icon
102
CALL
Marathon Digital Holdings
MARA
$4.48B
$111K 0.02%
+32,500
New +$273K
HCNE
103
DELISTED
Jaws Hurricane Acquisition Corp. Class A Common Stock
HCNE
$110K 0.02%
11,076
– –
ZURA icon
104
Zura Bio
ZURA
$524M
$102K 0.02%
10,000
– –
EOCW
105
DELISTED
Elliott Opportunity II Corp.
EOCW
$101K 0.02%
10,000
– –
AMPX.WS icon
106
Amprius Technologies Warrants
AMPX.WS
$436M
$93.9K 0.01%
+319,068
New +$113K
NXPLW
107
DELISTED
NextPlat Corp Warrants
NXPLW
$74.6K 0.01%
120,289
-7,241
-6% -$4.53K
SBEV.WS
108
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
$68.1K 0.01%
453,974
+167,115
+58% +$52.4K
ONFOW icon
109
Onfolio Holdings Warrant
ONFOW
$73.9K
$67.7K 0.01%
282,128
-700
-0.2% -$147
POL.WS
110
DELISTED
Polished.com Inc. Warrants to Purchase Common Stock
POL.WS
$61.8K 0.01%
773,118
+31,000
+4% +$2.96K
PETVW
111
DELISTED
PetVivo Holdings, Inc. Warrant
PETVW
$60.7K 0.01%
221,977
-1,976
-0.9% -$886
DFSCW
112
DEFSEC Technologies Warrant
DFSCW
$57.6K 0.01%
+64,000
New +$57.7K
MARA icon
113
PUT
Marathon Digital Holdings
MARA
$4.48B
$54.4K 0.01%
15,900
– –
FGIWW
114
FGI Industries Warrant
FGIWW
$180K
$52.1K 0.01%
121,074
– –
DRCTW
115
DELISTED
Direct Digital Holdings, Inc. Warrant
DRCTW
$48.8K 0.01%
62,616
+2,287
+4% +$1.25K
DFSC
116
DEFSEC Technologies
DFSC
$3.57M
$47.6K 0.01%
+66
New +$37.8K
LEV.WS.A
117
DELISTED
The Lion Electric Company Warrants to purchase common shares
LEV.WS.A
$41.9K 0.01%
+60,667
New +$35.1K
ZIVOW
118
DELISTED
Zivo Bioscience, Inc. Warrants
ZIVOW
$41.1K 0.01%
86,508
+1,854
+2% +$1.29K
MARA icon
119
Marathon Digital Holdings
MARA
$4.48B
$41K 0.01%
+12,000
New +$101K
TALKW
120
DELISTED
Talkspace Inc Warrant
TALKW
$38K 0.01%
521,442
+277,717
+114% +$40.3K
VEEE icon
121
Twin Vee PowerCats
VEEE
$6.7M
$37.9K 0.01%
56
-53
-49% -$39.7K
DWTX
122
Dogwood Therapeutics
DWTX
$57.5M
$37.8K 0.01%
6,400
-1,600
-20% -$12.1K
NEOVW icon
123
NeoVolta Inc Warrant
NEOVW
$1.17M
$34.5K 0.01%
+38,527
New +$49.1K
NAVB
124
DELISTED
Navidea Biopharmaceuticals Inc.
NAVB
$33.9K 0.01%
+161,250
New +$40.3K
MIR.WS
125
DELISTED
Mirion Technologies, Inc. Redeemable Warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50
MIR.WS
$33.7K 0.01%
+30,096
New +$34.3K
3 4
5
6 7

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Warberg Asset Management's Q4 2022 Portfolio in Review

As of Q4 2022, Warberg Asset Management held 356 positions worth $638M, up 10% from $578M the previous quarter. Its ten largest holdings account for 75% of the portfolio.

Warberg Asset Management withdrew a net $164M in Q4 2022, closing 83 positions and reducing 46 holdings. Its most notable exit was Expand Energy Corp Class B Warrants, an estimated $18.5M position sold in full.

By sector, the portfolio is most concentrated in Financials at 1.2% of assets, down from 1.5% a quarter earlier, followed by Technology and Real Estate.

Against the trend, Warberg Asset Management opened a new position in Janus Henderson Short Duration Income ETF worth $1.62M.

  • Warberg Asset Management's largest Q4 2022 buy was Janus Henderson Short Duration Income ETF: 34,175 shares worth $1.62M.
  • Warberg Asset Management added most to South Jersey Industries, Inc. Corporate Units in Q4 2022, an estimated $9.41M increase.
  • Warberg Asset Management's biggest Q4 2022 reduction was Expand Energy Corp Class A Warrants, cutting an estimated $34.5M.
  • Warberg Asset Management fully exited Expand Energy Corp Class B Warrants in Q4 2022, selling an estimated $18.5M.
  • Warberg Asset Management's ten largest holdings make up 75% of its $638M portfolio in Q4 2022.
  • Warberg Asset Management opened 64 new positions and closed 83 in Q4 2022.
  • Warberg Asset Management's portfolio value rose 10% quarter-over-quarter to $638M.

Based on Warberg Asset Management's 13F filing for Q4 2022, filed 13 Feb 2023.