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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
+1.31%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$540M
AUM Growth
-$77.1M
Cap. Flow
-$263M
Cap. Flow %
-48.78%
Top 10 Hldgs %
59.86%
Holding
253
New
57
Increased
12
Reduced
52
Closed
53

Top Buys

Rank Stock Value
1
AVTR.PRA
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
+$15.3M
2
DHR.PRA
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
+$15.2M
3
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$3.64M
4
EXEEW
Expand Energy Corp Class A Warrants
EXEEW
+$3.52M
5
AVGOP
Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A
AVGOP
+$2.58M

Top Sells

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$1.93M
2
WSC icon
WillScot Mobile Mini Holdings
WSC
+$1.78M
3
NEE.PRP
NextEra Energy, Inc. 5.279% Corporate Units
NEE.PRP
+$1.53M
4
IEAWW
Infrastructure and Energy Alternatives, Inc. Warrant
IEAWW
+$1.51M
5
MUDS
Mudrick Capital Acquisition Corporation II Class A Common Stock
MUDS
+$1.39M

Sector Composition

Rank Sector Weight
1 Financials 0.5%
2 Consumer Discretionary 0.21%
3 Healthcare 0.2%
4 Technology 0.16%
5 Real Estate 0.06%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
IKT icon
126
Inhibikase Therapeutics
IKT
$342M
$18K ﹤0.01%
2,082
-2,251
-52% -$24.9K
ZIVOW
127
DELISTED
Zivo Bioscience, Inc. Warrants
ZIVOW
$18K ﹤0.01%
19,441
-20,559
-51% -$19.1K
NXXT
128
NextNRG Inc
NXXT
$45.6M
$17K ﹤0.01%
600
-650
-52% -$33.6K
DBGIW
129
DELISTED
Digital Brands Group, Inc. Warrant
DBGIW
$17K ﹤0.01%
325
-354
-52% -$30.7K
BEATW icon
130
Heartbeam Inc Warrant
BEATW
$14K ﹤0.01%
+18,638
New +$18.6K
CRTDW
131
DELISTED
Creatd Inc. Warrant
CRTDW
$14K ﹤0.01%
24,545
+11,414
+87% +$8.8K
LVO icon
132
LiveOne
LVO
$61.7M
$13K ﹤0.01%
+1,000
New +$21.9K
SBEV.WS
133
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
$13K ﹤0.01%
40,712
-4,200
-9% -$1.64K
SPIR.WS
134
DELISTED
Spire Global, Inc. Warrants, each whole warrant exercisable for one share of Class A Common Stock at an exercise price of $11.50 per whole share
SPIR.WS
$13K ﹤0.01%
29,800
-15,570
-34% -$14.7K
PXS icon
135
Pyxis Tankers
PXS
$48.7M
$12K ﹤0.01%
6,250
-6,250
-50% -$17.6K
PXSAW
136
DELISTED
Pyxis Tankers Inc Warrant
PXSAW
$12K ﹤0.01%
81,744
-15,741
-16% -$3.93K
GROMW
137
DELISTED
Grom Social Enterprises Inc. Warrants
GROMW
$12K ﹤0.01%
801
-4,569
-85% -$117K
JOB icon
138
GEE Group
JOB
$23.1M
$9K ﹤0.01%
15,001
-14,999
-50% -$7.13K
ATXI
139
DELISTED
Avenue Therapeutics, Inc. Common Stock
ATXI
$9K ﹤0.01%
+9
New +$13K
CLVRW
140
DELISTED
Clever Leaves Holdings Inc. Warrant
CLVRW
$9K ﹤0.01%
18,686
-148,664
-89% -$118K
CRXTW
141
DELISTED
Clarus Therapeutics Holdings, Inc. Warrants
CRXTW
$9K ﹤0.01%
32,502
-107,338
-77% -$54.9K
ABEO icon
142
Abeona Therapeutics
ABEO
$366M
$8K ﹤0.01%
+928
New +$17K
LIXTW
143
DELISTED
Lixte Biotechnology Warrants
LIXTW
$8K ﹤0.01%
17,934
-18,062
-50% -$7.09K
SHPWW
144
DELISTED
Shapeways Holdings, Inc. Warrants
SHPWW
$8K ﹤0.01%
+14,669
New +$11.2K
IMACW
145
DELISTED
IMAC Holdings, Inc. Warrant
IMACW
$6K ﹤0.01%
24,313
-41,902
-63% -$14.2K
GMVDW
146
DELISTED
G Medical Innovations Holdings Ltd. Warrants
GMVDW
$4K ﹤0.01%
12,801
-12,799
-50% -$5.01K
ENTXW
147
DELISTED
Entera Bio Ltd. Warrant
ENTXW
$4K ﹤0.01%
14,047
-30,954
-69% -$13.8K
ALZN icon
148
Alzamend Neuro
ALZN
$6.28M
– –
-10
Closed -$43K
ARKK icon
149
PUT
ARK Innovation ETF
ARKK
$5.84B
– –
-10,000
Closed -$1.1M
AUUDW
150
DELISTED
Auddia Inc Warrants
AUUDW
– –
-69,800
Closed -$52K
4 5
6
7 8

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Warberg Asset Management's Q4 2021 Portfolio in Review

As of Q4 2021, Warberg Asset Management held 253 positions worth $540M, down 13% from $617M the previous quarter. Its ten largest holdings account for 60% of the portfolio.

Warberg Asset Management withdrew a net $263M in Q4 2021, closing 53 positions and reducing 52 holdings. Its most notable exit was Invesco QQQ Trust, an estimated $1.93M position sold in full.

By sector, the portfolio is most concentrated in Financials at 0.5% of assets, down from 0.58% a quarter earlier, followed by Consumer Discretionary and Healthcare.

Against the trend, Warberg Asset Management opened a new position in Avantor, Inc. Series A Mandatory Convertible Preferred Stock worth $16.3M.

  • Warberg Asset Management's largest Q4 2021 buy was Avantor, Inc. Series A Mandatory Convertible Preferred Stock: 126,255 shares worth $16.3M.
  • Warberg Asset Management added most to Expand Energy Corp Class A Warrants in Q4 2021, an estimated $3.52M increase.
  • Warberg Asset Management's biggest Q4 2021 reduction was Mudrick Capital Acquisition Corporation II Class A Common Stock, cutting an estimated $1.39M.
  • Warberg Asset Management fully exited Invesco QQQ Trust in Q4 2021, selling an estimated $1.93M.
  • Warberg Asset Management's ten largest holdings make up 60% of its $540M portfolio in Q4 2021.
  • Warberg Asset Management opened 57 new positions and closed 53 in Q4 2021.
  • Warberg Asset Management's portfolio value fell 13% quarter-over-quarter to $540M.

Based on Warberg Asset Management's 13F filing for Q4 2021, filed 14 Feb 2022.