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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
+0.9%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$603M
AUM Growth
+$95.1M
Cap. Flow
-$108M
Cap. Flow %
-17.85%
Top 10 Hldgs %
72.31%
Holding
314
New
63
Increased
45
Reduced
48
Closed
75

Top Buys

Rank Stock Value
1
HTZWW
Hertz Global Holdings Warrants
HTZWW
+$1.67M
2
EPR.PRC icon
EPR Properties 5.75% Series C Preferred Shares
EPR.PRC
+$751K
3
EXEEL
Expand Energy Corp Class C Warrants
EXEEL
+$733K
4
HUDA
Hudson Acquisition I Corp. Common Stock
HUDA
+$718K
5
NEN icon
New England Realty Associates
NEN
+$675K

Top Sells

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
+$1.11M
3
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$947K
4
PXSAP
Pyxis Tankers Inc. 7.75% Series A Cumulative Convertible Preferred Shares
PXSAP
+$694K
5
OAKUU
Oak Woods Acquisition Corp Unit
OAKUU
+$663K

Sector Composition

Rank Sector Weight
1 Financials 1.39%
2 Technology 0.29%
3 Real Estate 0.27%
4 Industrials 0.17%
5 Energy 0.11%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
STEX
101
Streamex Corp
STEX
$74M
$41.2K 0.01%
+3,293
New +$42.1K
UPXI icon
102
Upexi
UPXI
$55.5M
$39.8K 0.01%
+885
New +$60.6K
BBLG
103
Bone Biologics
BBLG
$1.53M
$38.3K 0.01%
563
+542
+2,581% +$142K
NEPT
104
DELISTED
Neptune Wellness Solutions Inc. Ordinary Shares
NEPT
$36.8K 0.01%
+6,250
New +$89.2K
VEEE icon
105
Twin Vee PowerCats
VEEE
$6.68M
$36.7K 0.01%
47
-50
-52% -$30.8K
THWWW
106
DELISTED
Target Hospitality Corp. Warrant expiring 3/15/2024
THWWW
$35.7K 0.01%
10,325
– –
ONFOW icon
107
Onfolio Holdings Warrant
ONFOW
$80.1K
$35.3K 0.01%
200,753
-99,193
-33% -$14.5K
POL.WS
108
DELISTED
Polished.com Inc. Warrants to Purchase Common Stock
POL.WS
$34.2K 0.01%
526,228
-246,890
-32% -$18.7K
TNONW icon
109
Tenon Medical Inc Warrant
TNONW
$33.5K 0.01%
+320,500
New +$33.4K
CNTN
110
Canton Strategic Holdings
CNTN
$149M
$31.6K 0.01%
+231
New +$46.4K
ASPI icon
111
ASP Isotopes
ASPI
$504M
$31.4K 0.01%
55,218
+40,370
+272% +$21.9K
TALKW
112
DELISTED
Talkspace Inc Warrant
TALKW
$31.3K 0.01%
520,540
– –
INUV icon
113
Inuvo
INUV
$15.1M
$31.1K 0.01%
+14,000
New +$40.4K
MOBBW
114
Mobilicom Ltd Warrants
MOBBW
$2.18B
$29.1K ﹤0.01%
126,366
-1,000
-0.8% -$140
CISO
115
CISO Global
CISO
$11.6M
$28.9K ﹤0.01%
+10,667
New +$35.5K
CNVS icon
116
Cineverse
CNVS
$56.2M
$28.6K ﹤0.01%
+15,000
New +$89.7K
PGY icon
117
CALL
Pagaya Technologies
PGY
$1.61B
$28K ﹤0.01%
+1,667
New +$20.8K
APLMW icon
118
Apollomics Inc Warrant
APLMW
$1.41M
$27.8K ﹤0.01%
337,150
+55,300
+20% +$4.94K
FGIWW
119
FGI Industries Warrant
FGIWW
$189K
$27.6K ﹤0.01%
121,074
– –
TNON icon
120
Tenon Medical
TNON
$3.44M
$26.8K ﹤0.01%
+1,219
New +$128K
SBEV.WS
121
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
$26.8K ﹤0.01%
198,666
-72,827
-27% -$12.7K
BTBDW icon
122
BT Brands Warrant
BTBDW
$143K
$25.5K ﹤0.01%
137,708
+4,900
+4% +$980
BEATW icon
123
Heartbeam Inc Warrant
BEATW
$44K
$25.1K ﹤0.01%
62,838
-44,462
-41% -$19.6K
WLDSW icon
124
Wearable Devices Ltd Warrant
WLDSW
$25.1K ﹤0.01%
174
+41
+31% +$5.5K
RBOT.WS
125
DELISTED
Vicarious Surgical Inc Warrants
RBOT.WS
$24.6K ﹤0.01%
112,000
– –
3 4
5
6 7

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CCP
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SCM
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OCAM
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NPCM
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FSG
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CIG
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Warberg Asset Management's Q2 2023 Portfolio in Review

As of Q2 2023, Warberg Asset Management held 314 positions worth $603M, up 19% from $507M the previous quarter. Its ten largest holdings account for 72% of the portfolio.

Warberg Asset Management withdrew a net $108M in Q2 2023, closing 75 positions and reducing 48 holdings. Its most notable exit was iShares Ultra Short Duration Bond Active ETF, an estimated $1.54M position sold in full.

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

Against the trend, Warberg Asset Management opened a new position in EPR Properties 5.75% Series C Preferred Shares worth $814K.

  • Warberg Asset Management's largest Q2 2023 buy was EPR Properties 5.75% Series C Preferred Shares: 38,600 shares worth $814K.
  • Warberg Asset Management added most to Hertz Global Holdings Warrants in Q2 2023, an estimated $1.67M increase.
  • Warberg Asset Management's biggest Q2 2023 reduction was Occidental Petroleum Corp Warrants, cutting an estimated $947K.
  • Warberg Asset Management fully exited iShares Ultra Short Duration Bond Active ETF in Q2 2023, selling an estimated $1.54M.
  • Warberg Asset Management's ten largest holdings make up 72% of its $603M portfolio in Q2 2023.
  • Warberg Asset Management opened 63 new positions and closed 75 in Q2 2023.
  • Warberg Asset Management's portfolio value rose 19% quarter-over-quarter to $603M.

Based on Warberg Asset Management's 13F filing for Q2 2023, filed 9 Aug 2023.