WAM

Warberg Asset Management Portfolio holdings

AUM $408M
This Quarter Return
+1.28%
1 Year Return
+10.11%
3 Year Return
+19.63%
5 Year Return
–
10 Year Return
–
AUM
$408M
AUM Growth
+$408M
Cap. Flow
+$2.76M
Cap. Flow %
0.68%
Top 10 Hldgs %
49.01%
Holding
249
New
41
Increased
16
Reduced
24
Closed
51

Top Buys

1
PARA
Paramount Global Class B
PARA
$2.58M
2
STXS icon
Stereotaxis
STXS
$1.84M
3
EXEEL
Expand Energy Corporation Class C Warrants
EXEEL
$1.22M
4
OXY.WS icon
Occidental Petroleum Corporation Warrants to Purchase Common Stock
OXY.WS
$1.21M
5
EPR.PRC icon
EPR Properties 5.75% Series C Cumulative Convertible Preferred Shares
EPR.PRC
$1.15M

Top Sells

1
QQQ icon
Invesco QQQ Trust
QQQ
$2.81M
2
SGOV icon
iShares 0-3 Month Treasury Bond ETF
SGOV
$1.13M
3
CLRC
ClimateRock Class A Ordinary Shares
CLRC
$905K
4
GTLS.PRB icon
Chart Industries, Inc. Depositary Shares, each Representing a 1/20th Interest in a Share of 6.75% Series B Mandatory Convertible Preferred Stock
GTLS.PRB
$789K
5
APO.PRA icon
Apollo Global Management Series A
APO.PRA
$768K

Sector Composition

1 Financials 3.2%
2 Healthcare 0.67%
3 Communication Services 0.63%
4 Real Estate 0.19%
5 Technology 0.1%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
SWAGW icon
101
Stran & Company, Inc. Warrant
SWAGW
$217K
$3.15K ﹤0.01%
168,734
– –
AERTW
102
Aeries Technology Warrant
AERTW
$1.69M
$2.74K ﹤0.01%
95,027
– –
KLTOW
103
Klotho Neurosciences, Inc. Warrant
KLTOW
$2.52K ﹤0.01%
+10,100
New +$2.52K
NXLIW
104
Nexalin Technology, Inc. Warrant
NXLIW
$57.2K
$1.78K ﹤0.01%
37,649
– –
BNCWW
105
CEA Industries Inc. Warrant
BNCWW
$489K
$1.61K ﹤0.01%
54,062
– –
CREVW icon
106
Carbon Revolution Public Limited Company Warrant
CREVW
$1.58K ﹤0.01%
88,701
-200
-0.2% -$4
DFSCW
107
DEFSEC Technologies Inc. Warrant
DFSCW
$116K
$1.2K ﹤0.01%
30,000
-73,347
-71% -$2.93K
SMXWW
108
SMX (Security Matters) Public Limited Company Warrant
SMXWW
$916K
$866 ﹤0.01%
57,750
– –
ANGHW icon
109
Anghami Inc Warrants
ANGHW
$153K
$477 ﹤0.01%
40,409
– –
BNAIW
110
Brand Engagement Network Inc. Warrant
BNAIW
$330K
$301 ﹤0.01%
10,000
– –
CRCL
111
Circle Internet Group, Inc.
CRCL
$27.4B
– –
0
– –
CLRC
112
DELISTED
ClimateRock Class A Ordinary Shares
CLRC
– –
-75,393
Closed -$905K
OCEAW
113
DELISTED
Ocean Biomediacal, Inc. Warrants
OCEAW
– –
-58,542
Closed -$1.36K
UYSCU
114
UY Scuti Acquisition Corp. Units
UYSCU
$53.8M
– –
-14,900
Closed -$150K
CRWV
115
CoreWeave, Inc. Class A Common Stock
CRWV
$43.9B
– –
0
– –
QSEAU
116
Quartzsea Acquisition Corporation Units
QSEAU
– –
-24,000
Closed -$242K
CAPS
117
Capstone Holding Corp. Common Stock
CAPS
$6.53M
– –
-11,000
Closed -$26.5K
DMAAR
118
Drugs Made In America Acquisition Corp. Rights
DMAAR
– –
-18,443
Closed -$2.4K
TDACW
119
Translational Development Acquisition Corp. Warrants
TDACW
$2.24M
– –
-16,360
Closed -$2.3K
ATIIU
120
Archimedes Tech SPAC Partners II Co. Unit
ATIIU
– –
-10,000
Closed -$101K
FGMCU
121
FG Merger II Corp. Unit
FGMCU
$105M
– –
-25,000
Closed -$244K
HKPD
122
Hong Kong Pharma Digital Technology Holdings Limited Ordinary shares
HKPD
$12.3M
– –
-15,000
Closed -$16.2K
GSRT
123
GSR III Acquisition Corp. Ordinary Shares
GSRT
$303M
– –
-67,998
Closed -$681K
IRD
124
Opus Genetics, Inc. Common Stock
IRD
$76.7M
– –
-10,000
Closed -$9.82K
IVF
125
INVO Fertility, Inc. Common Stock
IVF
$4.06M
– –
-11,294
Closed -$22.6K
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5
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