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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
+1.57%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$617M
AUM Growth
+$101M
Cap. Flow
-$159M
Cap. Flow %
-25.85%
Top 10 Hldgs %
61.15%
Holding
231
New
51
Increased
29
Reduced
33
Closed
34

Top Buys

Rank Stock Value
1
EXEEW
Expand Energy Corp Class A Warrants
EXEEW
+$3.67M
2
MUDS
Mudrick Capital Acquisition Corporation II Class A Common Stock
MUDS
+$2.21M
3
QQQ icon
Invesco QQQ Trust
QQQ
+$1.84M
4
PAVMZ
PAVmed Inc. Series Z Warrant
PAVMZ
+$1.82M
5
NEE.PRP
NextEra Energy, Inc. 5.279% Corporate Units
NEE.PRP
+$1.57M

Top Sells

Rank Stock Value
1
TWNKW
Hostess Brands, Inc. Warrants
TWNKW
+$5.03M
2
WSC icon
WillScot Mobile Mini Holdings
WSC
+$2.17M
3
CFXA
Colfax Corporation 5.75% Tangible Equity Units
CFXA
+$1.25M
4
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$907K
5
POL.WS
Polished.com Inc. Warrants to Purchase Common Stock
POL.WS
+$478K

Sector Composition

Rank Sector Weight
1 Financials 0.58%
2 Consumer Discretionary 0.44%
3 Industrials 0.35%
4 Technology 0.13%
5 Real Estate 0.12%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CTRM icon
126
Castor Maritime
CTRM
$20.1M
$24K ﹤0.01%
+1,000
New +$22.5K
SBEV.WS
127
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
$24K ﹤0.01%
44,912
+31,400
+232% +$28.4K
BNKK
128
Bonk Inc
BNKK
$8.4M
$23K ﹤0.01%
+457
New +$36K
ENTXW
129
DELISTED
Entera Bio Ltd. Warrant
ENTXW
$23K ﹤0.01%
45,001
– –
BFIIW
130
DELISTED
BurgerFi International, Inc. Warrant
BFIIW
$22K ﹤0.01%
13,657
-53,222
-80% -$109K
LIXTW
131
DELISTED
Lixte Biotechnology Warrants
LIXTW
$20K ﹤0.01%
35,996
+21,642
+151% +$14.2K
GFAIW icon
132
Guardforce AI Warrant
GFAIW
$93.3K
$19K ﹤0.01%
+23,250
New +$19.2K
HYMCL
133
DELISTED
Hycroft Mining Holding Corp Warrants
HYMCL
$18K ﹤0.01%
51,158
– –
MILEW
134
DELISTED
Metromile, Inc. Warrant
MILEW
$17K ﹤0.01%
+20,000
New +$26K
SEAC
135
DELISTED
Seachange International Inc
SEAC
$16K ﹤0.01%
770
– –
JOB icon
136
GEE Group
JOB
$23.5M
$14K ﹤0.01%
30,000
-24,000
-44% -$12K
GMVDW
137
DELISTED
G Medical Innovations Holdings Ltd. Warrants
GMVDW
$10K ﹤0.01%
+25,600
New +$17.2K
MDGSW
138
DELISTED
Medigus Ltd. Series C Warrant
MDGSW
$9K ﹤0.01%
18,450
-14,450
-44% -$7.1K
CRTDW
139
DELISTED
Creatd Inc. Warrant
CRTDW
$9K ﹤0.01%
+13,131
New +$17.1K
COMSW
140
DELISTED
COMSovereign Holding Corp. Warrants
COMSW
$7K ﹤0.01%
16,660
-18,340
-52% -$14.2K
NBSTW
141
DELISTED
Newbury Street Acquisition Corporation Warrants
NBSTW
$5K ﹤0.01%
10,000
– –
GACQW
142
DELISTED
Global Consumer Acquisition Corp. Warrant
GACQW
$5K ﹤0.01%
+10,000
New +$5.05K
ADVWW
143
DELISTED
Advantage Solutions Warrant
ADVWW
– –
-12,000
Closed -$30K
AMC icon
144
PUT
AMC Entertainment Holdings
AMC
$2.48B
– –
-4,400
Closed -$2.49M
ASM
145
Avino Silver & Gold Mines
ASM
$1.01B
– –
-50,000
Closed -$59K
BB icon
146
PUT
BlackBerry
BB
$5.19B
– –
-69,000
Closed -$843K
BKKT icon
147
Bakkt Inc
BKKT
$328M
– –
-473
Closed -$118K
CLOV icon
148
PUT
Clover Health Investments
CLOV
$2.26B
– –
-10,000
Closed -$133K
CVM icon
149
PUT
CEL-SCI Corp
CVM
$23.2M
– –
-633
Closed -$165K
GME icon
150
GameStop
GME
$8.56B
– –
-4,000
Closed -$214K
4 5
6
7 8

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Warberg Asset Management's Q3 2021 Portfolio in Review

As of Q3 2021, Warberg Asset Management held 231 positions worth $617M, up 20% from $516M the previous quarter. Its ten largest holdings account for 61% of the portfolio.

Warberg Asset Management withdrew a net $159M in Q3 2021, closing 34 positions and reducing 33 holdings. Its most notable exit was Colfax Corporation 5.75% Tangible Equity Units, an estimated $1.25M position sold in full.

By sector, the portfolio is most concentrated in Financials at 0.58% of assets, down from 0.64% a quarter earlier, followed by Consumer Discretionary and Industrials.

Against the trend, Warberg Asset Management opened a new position in Expand Energy Corp Class A Warrants worth $4.29M.

  • Warberg Asset Management's largest Q3 2021 buy was Expand Energy Corp Class A Warrants: 118,000 shares worth $4.29M.
  • Warberg Asset Management added most to Mudrick Capital Acquisition Corporation II Class A Common Stock in Q3 2021, an estimated $2.21M increase.
  • Warberg Asset Management's biggest Q3 2021 reduction was Hostess Brands, Inc. Warrants, cutting an estimated $5.03M.
  • Warberg Asset Management fully exited Colfax Corporation 5.75% Tangible Equity Units in Q3 2021, selling an estimated $1.25M.
  • Warberg Asset Management's ten largest holdings make up 61% of its $617M portfolio in Q3 2021.
  • Warberg Asset Management opened 51 new positions and closed 34 in Q3 2021.
  • Warberg Asset Management's portfolio value rose 20% quarter-over-quarter to $617M.

Based on Warberg Asset Management's 13F filing for Q3 2021, filed 15 Nov 2021.