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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
+5.76%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$516M
AUM Growth
+$215M
Cap. Flow
-$47.8M
Cap. Flow %
-9.26%
Top 10 Hldgs %
55.42%
Holding
238
New
71
Increased
20
Reduced
27
Closed
43

Top Buys

Rank Stock Value
1
WSC icon
WillScot Mobile Mini Holdings
WSC
+$3.77M
2
WTRU
Essential Utilities, Inc.6.00% Tangible Equity Units
WTRU
+$1.58M
3
CFXA
Colfax Corporation 5.75% Tangible Equity Units
CFXA
+$1.22M
4
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$930K
5
TWNKW
Hostess Brands, Inc. Warrants
TWNKW
+$912K

Top Sells

Rank Stock Value
1
CCL icon
Carnival Corporation Ltd
CCL
+$3.17M
2
SJIU
South Jersey Industries, Inc.
SJIU
+$1.28M
3
GCMGW
GCM Grosvenor Inc Warrant
GCMGW
+$1.16M
4
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$677K
5
CHNGU
Change Healthcare Inc. Tangible Equity Units
CHNGU
+$645K

Sector Composition

Rank Sector Weight
1 Industrials 0.76%
2 Financials 0.64%
3 Technology 0.23%
4 Healthcare 0.21%
5 Consumer Discretionary 0.17%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NBSTW
126
DELISTED
Newbury Street Acquisition Corporation Warrants
NBSTW
$8K ﹤0.01%
+10,000
New +$6K
BLNK icon
127
PUT
Blink Charging
BLNK
$74.3M
– –
-5,000
Closed -$206K
CCL icon
128
Carnival Corporation Ltd
CCL
$38.1B
– –
-119,600
Closed -$3.17M
CCL icon
129
PUT
Carnival Corporation Ltd
CCL
$38.1B
– –
-120,700
Closed -$3.2M
FATBW
130
DELISTED
FAT Brands Inc. Warrant
FATBW
– –
-15,000
Closed -$53K
GB.WS
131
DELISTED
Global Blue Group Holding AG Warrants exercisable for one Ordinary Share of Global Blue Group Holding AG at a price of $11.50 per share
GB.WS
– –
-15,450
Closed -$19K
HYMCW
132
DELISTED
Hycroft Mining Holding Corporation Warrant
HYMCW
– –
-102,355
Closed -$53K
LSEAW
133
DELISTED
Landsea Homes Corporation Warrant
LSEAW
– –
-16,000
Closed -$4K
META icon
134
PUT
Meta Platforms (Facebook)
META
$1.42T
– –
-6,000
Closed -$1.77M
MUX icon
135
McEwen Inc
MUX
$1.03B
– –
-8,000
Closed -$83K
RIOT icon
136
PUT
Riot Platforms
RIOT
$7.63B
– –
-7,000
Closed -$373K
SA
137
CALL
Seabridge Gold
SA
$2.78B
– –
-10,000
Closed -$162K
SHIP icon
138
Seanergy Maritime Holdings
SHIP
$379M
– –
-7,500
Closed -$80K
SKT icon
139
CALL
Tanger
SKT
$4.67B
– –
-10,000
Closed -$151K
SPCK
140
PUT
The SPAC and New Issue ETF
SPCK
$8.28M
– –
-17,000
Closed -$485K
SPY icon
141
CALL
State Street SPDR S&P 500 ETF Trust
SPY
$790B
– –
-5,000
Closed -$1.98M
TLT icon
142
iShares 20+ Year Treasury Bond ETF
TLT
$42.1B
– –
-5,000
Closed -$677K
TLT icon
143
PUT
iShares 20+ Year Treasury Bond ETF
TLT
$42.1B
– –
-26,000
Closed -$3.52M
VATE icon
144
CALL
INNOVATE Corp
VATE
$111M
– –
-2,000
Closed -$79K
TONX
145
TON Strategy Co
TONX
$168M
– –
-10
Closed -$109K
VUZI icon
146
PUT
Vuzix
VUZI
$194M
– –
-15,000
Closed -$382K
XLF icon
147
PUT
State Street Financial Select Sector SPDR ETF
XLF
$56.7B
– –
-70,000
Closed -$2.38M
BACK
148
DELISTED
IMAC Holdings, Inc. Common Stock
BACK
– –
-551
Closed -$27K
NBSTU
149
DELISTED
Newbury Street Acquisition Corporation Units
NBSTU
– –
-20,000
Closed -$198K
AESC
150
DELISTED
The AES Corporation
AESC
– –
-2,097
Closed -$217K
3 4 5
6
7

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Warberg Asset Management's Q2 2021 Portfolio in Review

As of Q2 2021, Warberg Asset Management held 238 positions worth $516M, up 71% from $301M the previous quarter. Its ten largest holdings account for 55% of the portfolio.

Warberg Asset Management withdrew a net $47.8M in Q2 2021, closing 43 positions and reducing 27 holdings. Its most notable exit was Carnival Corporation Ltd, an estimated $3.17M position sold in full.

By sector, the portfolio is most concentrated in Industrials at 0.76% of assets, up from 0.03% a quarter earlier, followed by Financials and Technology.

Against the trend, Warberg Asset Management opened a new position in WillScot Mobile Mini Holdings worth $3.65M.

  • Warberg Asset Management's largest Q2 2021 buy was WillScot Mobile Mini Holdings: 131,149 shares worth $3.65M.
  • Warberg Asset Management added most to Hostess Brands, Inc. Warrants in Q2 2021, an estimated $912K increase.
  • Warberg Asset Management's biggest Q2 2021 reduction was GCM Grosvenor Inc Warrant, cutting an estimated $1.16M.
  • Warberg Asset Management fully exited Carnival Corporation Ltd in Q2 2021, selling an estimated $3.17M.
  • Warberg Asset Management's ten largest holdings make up 55% of its $516M portfolio in Q2 2021.
  • Warberg Asset Management opened 71 new positions and closed 43 in Q2 2021.
  • Warberg Asset Management's portfolio value rose 71% quarter-over-quarter to $516M.

Based on Warberg Asset Management's 13F filing for Q2 2021, filed 16 Aug 2021.