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
CEP
126
Cantor Equity Partners, Inc. Class A Ordinary Shares
CEP
$275M
– –
0
– –
DYCQ
127
DT Cloud Acquisition Corp
DYCQ
– –
-25,815
Closed -$276K
XTIA icon
128
XTI Aerospace
XTIA
$40.9M
– –
-25,000
Closed -$27.3K
JVSA
129
DELISTED
JV SPAC Acquisition Corp
JVSA
– –
-14,141
Closed -$151K
IROH icon
130
Iron Horse Acquisitions Corp
IROH
$24.4M
– –
-62,417
Closed -$655K
XLF icon
131
Financial Select Sector SPDR Fund
XLF
$53.6B
– –
-13,000
Closed -$648K
XBPEW
132
XBP Europe Holdings, Inc. Warrant
XBPEW
$903K
– –
-13,826
Closed -$512
VXX icon
133
iPath Series B S&P 500 VIX Short-Term Futures ETN
VXX
$264M
– –
0
– –
AAPL icon
134
Apple
AAPL
$3.54T
– –
-3,450
Closed -$766K
ABL icon
135
Abacus Life
ABL
$656M
– –
0
– –
ACMR icon
136
ACM Research
ACMR
$1.72B
– –
0
– –
AEVA
137
Aeva Technologies
AEVA
$767M
– –
0
– –
AGI icon
138
Alamos Gold
AGI
$13.5B
– –
0
– –
AIMDW icon
139
Ainos Warrants
AIMDW
$171K
– –
-17,622
Closed -$1.94K
AMD icon
140
Advanced Micro Devices
AMD
$263B
– –
0
– –
ANVS icon
141
Annovis Bio
ANVS
$44.4M
– –
-39,000
Closed -$58.5K
APO.PRA icon
142
Apollo Global Management Series A
APO.PRA
$2B
– –
-10,511
Closed -$768K
ATLX icon
143
Atlas Lithium Corp
ATLX
$102M
– –
-126,999
Closed -$657K
BBAI.WS icon
144
BigBear.ai Holdings, Inc. Redeemable warrants, each full warrant exercisable for one share of common stock at an exercise price of $11.50 per share
BBAI.WS
$387M
– –
-18,038
Closed -$14.8K
BIAF icon
145
bioAffinity Technologies
BIAF
$7.03M
– –
-22,500
Closed -$5.87K
BTMWW
146
Bitcoin Depot Inc. Warrant
BTMWW
$6.54M
– –
-50,000
Closed -$3.5K
CTLP icon
147
Cantaloupe
CTLP
$795M
– –
0
– –
CVNA icon
148
Carvana
CVNA
$50B
– –
0
– –
DSX.WS icon
149
Diana Shipping Inc. Warrants to Purchase Common Stock (expiring on or about December 14, 2026)
DSX.WS
$12.8M
– –
-198,728
Closed -$21.7K
EQIX icon
150
Equinix
EQIX
$74.6B
– –
0
– –
4 5
6
7 8