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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
+0.84%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$301M
AUM Growth
-$107M
Cap. Flow
-$177M
Cap. Flow %
-58.87%
Top 10 Hldgs %
48.48%
Holding
214
New
39
Increased
18
Reduced
31
Closed
60

Top Buys

Rank Stock Value
1
GCMGW
GCM Grosvenor Inc Warrant
GCMGW
+$1.72M
2
IEAWW
Infrastructure and Energy Alternatives, Inc. Warrant
IEAWW
+$1.65M
3
SJIU
South Jersey Industries, Inc.
SJIU
+$1.34M
4
NSLR
Neostellar Capital Corp
NSLR
+$1.18M
5
TWNKW
Hostess Brands, Inc. Warrants
TWNKW
+$979K

Top Sells

Rank Stock Value
1
NCLH icon
Norwegian Cruise Line
NCLH
+$1.44M
2
PSTH
Pershing Square Tontine Holdings, Ltd.
PSTH
+$838K
3
GRWG icon
GrowGeneration
GRWG
+$603K
4
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$536K
5
ALTG.WS
Alta Equipment Group Warrants
ALTG.WS
+$369K

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 1.11%
2 Financials 0.72%
3 Technology 0.25%
4 Real Estate 0.1%
5 Healthcare 0.07%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
UTZ icon
126
PUT
Utz Brands
UTZ
$1.25B
– –
-19,000
Closed -$419K
VXX icon
127
CALL
iPath Series B S&P 500 VIX Short-Term Futures ETN
VXX
$154M
– –
-1,172
Closed -$1.26M
VXX icon
128
iPath Series B S&P 500 VIX Short-Term Futures ETN
VXX
$154M
– –
-234
Closed -$252K
YCBD icon
129
cbdMD
YCBD
$5.98M
– –
-56
Closed -$59K
XYLO
130
DELISTED
Xylo Technologies
XYLO
– –
-325
Closed -$25K
MSPR
131
DELISTED
MSP Recovery Inc
MSPR
– –
-2
Closed -$107K
FFAIW
132
DELISTED
Faraday Future Intelligent Electric Warrant
FFAIW
– –
-21,740
Closed -$23K
FFAI
133
Faraday Future Intelligent Electric
FFAI
$13M
– –
0
– -$241K
GSMGW
134
DELISTED
Cheer Holding, Inc. Warrant expiring 2/13/2025
GSMGW
– –
-280,000
Closed -$23K
SAVE
135
CALL
DELISTED
Spirit Airlines, Inc.
SAVE
– –
-24,000
Closed -$587K
ARTLW
136
DELISTED
Artelo Biosciences, Inc. Warrant
ARTLW
– –
-16,403
Closed -$4K
FSR
137
CALL
DELISTED
Fisker Inc.
FSR
– –
-11,000
Closed -$161K
ONCT
138
CALL
DELISTED
Oncternal Therapeutics, Inc. Common Stock
ONCT
– –
-1,050
Closed -$103K
ARBGU
139
DELISTED
Aequi Acquisition Corp Unit
ARBGU
– –
-11,777
Closed -$119K
NMTR
140
DELISTED
9 Meters Biopharma
NMTR
– –
-1,594
Closed -$27K
TTCF
141
PUT
DELISTED
Tattooed Chef, Inc Class A Common Stock
TTCF
– –
-9,000
Closed -$206K
GFLU
142
DELISTED
GFL Environmental Inc. Tangible Equity Units
GFLU
– –
-7,638
Closed -$536K
VLDR
143
DELISTED
Velodyne Lidar, Inc. Common Stock
VLDR
– –
-14,375
Closed -$328K
VLDR
144
PUT
DELISTED
Velodyne Lidar, Inc. Common Stock
VLDR
– –
-19,900
Closed -$454K
IGAC
145
DELISTED
IG Acquisition Corp. Class A Common Stock
IGAC
– –
-12,800
Closed -$130K
RCOR
146
DELISTED
Renovacor, Inc.
RCOR
– –
-15,577
Closed -$159K
DWIN.U
147
DELISTED
Delwinds Insurance Acquisition Corp. Units, each consisting of one share of Class A common stock, and one-half of one redeemable warrant
DWIN.U
– –
-14,000
Closed -$144K
CRTDW
148
DELISTED
Creatd Inc. Warrant
CRTDW
– –
-12,600
Closed -$12K
RENO
149
DELISTED
Renovare Environmental, Inc. Common Stock
RENO
– –
-24,000
Closed -$27K
HSTO
150
DELISTED
Histogen Inc. Common Stock
HSTO
– –
-3,700
Closed -$56K
3 4 5
6
7

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Warberg Asset Management's Q1 2021 Portfolio in Review

As of Q1 2021, Warberg Asset Management held 214 positions worth $301M, down 26% from $408M the previous quarter. Its ten largest holdings account for 48% of the portfolio.

Warberg Asset Management withdrew a net $177M in Q1 2021, closing 60 positions and reducing 31 holdings. Its most notable exit was Norwegian Cruise Line, an estimated $1.44M position sold in full.

By sector, the portfolio is most concentrated in Consumer Discretionary at 1.1% of assets, down from 1.3% a quarter earlier, followed by Financials and Technology.

Against the trend, Warberg Asset Management opened a new position in South Jersey Industries, Inc. worth $1.28M.

  • Warberg Asset Management's largest Q1 2021 buy was South Jersey Industries, Inc.: 33,225 shares worth $1.28M.
  • Warberg Asset Management added most to GCM Grosvenor Inc Warrant in Q1 2021, an estimated $1.72M increase.
  • Warberg Asset Management's biggest Q1 2021 reduction was Pershing Square Tontine Holdings, Ltd., cutting an estimated $838K.
  • Warberg Asset Management fully exited Norwegian Cruise Line in Q1 2021, selling an estimated $1.44M.
  • Warberg Asset Management's ten largest holdings make up 48% of its $301M portfolio in Q1 2021.
  • Warberg Asset Management opened 39 new positions and closed 60 in Q1 2021.
  • Warberg Asset Management's portfolio value fell 26% quarter-over-quarter to $301M.

Based on Warberg Asset Management's 13F filing for Q1 2021, filed 17 May 2021.