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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
+0.3%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$507M
AUM Growth
-$131M
Cap. Flow
-$367M
Cap. Flow %
-72.27%
Top 10 Hldgs %
67.23%
Holding
329
New
60
Increased
39
Reduced
52
Closed
80

Top Buys

Rank Stock Value
1
ICSH icon
iShares Ultra Short Duration Bond Active ETF
ICSH
+$1.54M
2
APTV.PRA
Aptiv PLC 5.50% Series A Mandatory Convertible Preferred Shares
APTV.PRA
+$1.12M
3
OAKUU
Oak Woods Acquisition Corp Unit
OAKUU
+$663K
4
MAQC
Maquia Capital Acquisition Corporation Class A Common Stock
MAQC
+$595K
5
FLOT icon
iShares Floating Rate Bond ETF
FLOT
+$534K

Top Sells

Rank Stock Value
1
SJIV
South Jersey Industries, Inc. Corporate Units
SJIV
+$10.7M
2
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$4.92M
3
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$3.75M
4
QQQ icon
Invesco QQQ Trust
QQQ
+$1.62M
5
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$1.62M

Sector Composition

Rank Sector Weight
1 Financials 1.37%
2 Technology 0.4%
3 Industrials 0.23%
4 Consumer Discretionary 0.22%
5 Real Estate 0.18%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BFRGW icon
101
Bullfrog AI Holdings Warrants
BFRGW
$148K
$72.6K 0.01%
+128,193
New +$85.2K
DFSCW
102
DEFSEC Technologies Warrant
DFSCW
$63.1K
$65.9K 0.01%
137,190
+73,190
+114% +$38.7K
ZIVOW
103
DELISTED
Zivo Bioscience, Inc. Warrants
ZIVOW
$65.3K 0.01%
112,163
+25,655
+30% +$19.5K
SVREW
104
SaverOne 2014 Ltd Warrant
SVREW
$48.9K
$65.3K 0.01%
199,497
+5,000
+3% +$823
NXPLW
105
DELISTED
NextPlat Corp Warrants
NXPLW
$61.4K 0.01%
104,119
-16,170
-13% -$8.9K
VEEE icon
106
Twin Vee PowerCats
VEEE
$5.84M
$60.7K 0.01%
97
+41
+73% +$30K
RNWWW
107
ReNew Energy Global PLC Warrant
RNWWW
$57.4K
$59.8K 0.01%
+69,614
New +$49.3K
BEATW icon
108
Heartbeam Inc Warrant
BEATW
$59.1K
$53.6K 0.01%
107,300
-10,200
-9% -$8.07K
BOIL icon
109
ProShares Ultra Bloomberg Natural Gas
BOIL
$348M
$48.7K 0.01%
+68
New +$97.1K
MIR.WS
110
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
$48.5K 0.01%
30,096
– –
SURG icon
111
CALL
SurgePays
SURG
$5.14M
$44.9K 0.01%
+10,000
New +$54K
TDW.WS.A
112
DELISTED
Tidewater Inc. Series A Warrants to purchase shares of common stock (expiring July 31, 2023)
TDW.WS.A
$44.9K 0.01%
+37,100
New +$56.9K
FGIWW
113
FGI Industries Warrant
FGIWW
$300K
$42.4K 0.01%
121,074
– –
ONFOW icon
114
Onfolio Holdings Warrant
ONFOW
$50.1K
$42.1K 0.01%
299,946
+17,818
+6% +$3.94K
RBOT.WS
115
DELISTED
Vicarious Surgical Inc Warrants
RBOT.WS
$41.2K 0.01%
112,000
– –
TALKW
116
DELISTED
Talkspace Inc Warrant
TALKW
$40.6K 0.01%
520,540
-902
-0.2% -$103
THWWW
117
DELISTED
Target Hospitality Corp. Warrant expiring 3/15/2024
THWWW
$39.4K 0.01%
+10,325
New +$58.9K
OPHC icon
118
OptimumBank Holdings
OPHC
$105M
$39K 0.01%
11,796
-76,812
-87% -$295K
SMR.WS
119
DELISTED
NuScale Power Corporation Warrants, each exercisable for one share of Class A Common Stock at an exercise price of $11.50 per share
SMR.WS
$36.7K 0.01%
22,257
-53,399
-71% -$96.3K
NEOVW icon
120
NeoVolta Inc Warrant
NEOVW
$1.05M
$34.6K 0.01%
38,425
-102
-0.3% -$91
ICUCW
121
SeaStar Medical Holding Corp Warrant
ICUCW
$334K
$31K 0.01%
366,011
+14,800
+4% +$1.62K
APLMW icon
122
Apollomics Inc Warrant
APLMW
$1.44M
$30.3K 0.01%
+281,850
New +$31.8K
NRSNW icon
123
NeuroSense Therapeutics Warrant
NRSNW
$1.16M
$30.3K 0.01%
77,765
-1,903
-2% -$606
LSDI
124
DELISTED
Lucy Scientific Discovery Inc. Common Stock
LSDI
$30K 0.01%
+2,730
New +$50.6K
MTEKW icon
125
Maris-Tech Ltd Warrants
MTEKW
$1.16M
$29.2K 0.01%
224,553
+1,317
+0.6% +$124
3 4
5
6 7

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NPCM
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Warberg Asset Management's Q1 2023 Portfolio in Review

As of Q1 2023, Warberg Asset Management held 329 positions worth $507M, down 21% from $638M the previous quarter. Its ten largest holdings account for 67% of the portfolio.

Warberg Asset Management withdrew a net $367M in Q1 2023, closing 80 positions and reducing 52 holdings. Its most notable exit was South Jersey Industries, Inc. Corporate Units, an estimated $10.7M position sold in full.

By sector, the portfolio is most concentrated in Financials at 1.4% of assets, up from 1.2% a quarter earlier, followed by Technology and Industrials.

Against the trend, Warberg Asset Management opened a new position in iShares Ultra Short Duration Bond Active ETF worth $1.54M.

  • Warberg Asset Management's largest Q1 2023 buy was iShares Ultra Short Duration Bond Active ETF: 30,744 shares worth $1.54M.
  • Warberg Asset Management added most to Expand Energy Corp Class A Warrants in Q1 2023, an estimated $481K increase.
  • Warberg Asset Management's biggest Q1 2023 reduction was Occidental Petroleum Corp Warrants, cutting an estimated $3.75M.
  • Warberg Asset Management fully exited South Jersey Industries, Inc. Corporate Units in Q1 2023, selling an estimated $10.7M.
  • Warberg Asset Management's ten largest holdings make up 67% of its $507M portfolio in Q1 2023.
  • Warberg Asset Management opened 60 new positions and closed 80 in Q1 2023.
  • Warberg Asset Management's portfolio value fell 21% quarter-over-quarter to $507M.

Based on Warberg Asset Management's 13F filing for Q1 2023, filed 15 May 2023.