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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
+18.18%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$649M
AUM Growth
+$110M
Cap. Flow
-$127M
Cap. Flow %
-19.49%
Top 10 Hldgs %
64.55%
Holding
273
New
75
Increased
52
Reduced
26
Closed
44

Top Buys

Rank Stock Value
1
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$19M
2
DHR.PRA
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
+$11.6M
3
EXEEW
Expand Energy Corp Class A Warrants
EXEEW
+$7.15M
4
EXEEL
Expand Energy Corp Class C Warrants
EXEEL
+$5.78M
5
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$2.53M

Top Sells

Rank Stock Value
1
WTRU
Essential Utilities, Inc.6.00% Tangible Equity Units
WTRU
+$2.62M
2
AVGOP
Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A
AVGOP
+$2.49M
3
NEE.PRO
NextEra Energy, Inc. 4.872% Corporate Units
NEE.PRO
+$2.03M
4
SABRP
Sabre Corporation 6.50% Series A Mandatory Convertible Preferred Stock
SABRP
+$912K
5
IIVI
Coherent Corp. 6.00% Series A Mandatory Convertible Preferred Stock
IIVI
+$640K

Sector Composition

Rank Sector Weight
1 Financials 0.47%
2 Consumer Discretionary 0.36%
3 Real Estate 0.19%
4 Utilities 0.19%
5 Healthcare 0.18%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PXS icon
126
Pyxis Tankers
PXS
$49.1M
$24K ﹤0.01%
11,306
+5,056
+81% +$11.1K
NXXT
127
NextNRG Inc
NXXT
$47M
$24K ﹤0.01%
1,150
+550
+92% +$13.1K
DBGIW
128
DELISTED
Digital Brands Group, Inc. Warrant
DBGIW
$24K ﹤0.01%
476
+151
+46% +$6.38K
TLSA icon
129
Tiziana Life Sciences
TLSA
$126M
$23K ﹤0.01%
+22,000
New +$19.5K
PXSAW
130
DELISTED
Pyxis Tankers Inc Warrant
PXSAW
$22K ﹤0.01%
92,785
+11,041
+14% +$2.39K
VIVK
131
Vivakor
VIVK
$1.07M
$22K ﹤0.01%
+3
New +$32K
WKSPW
132
DELISTED
Worksport, Ltd. Warrant
WKSPW
$21K ﹤0.01%
27,981
+2,203
+9% +$1.63K
IKT icon
133
Inhibikase Therapeutics
IKT
$377M
$20K ﹤0.01%
2,249
+167
+8% +$1.34K
AGRIW
134
DELISTED
AgriFORCE Growing Systems Ltd Warrant
AGRIW
$19K ﹤0.01%
+32,501
New +$17.8K
ADTX
135
DELISTED
ADITXT INC
ADTX
– –
0
– –
BKSY.WS icon
136
BlackSky Technology Inc Warrants
BKSY.WS
$455K
$18K ﹤0.01%
63,865
– –
BEATW icon
137
Heartbeam Inc Warrant
BEATW
$59.1K
$17K ﹤0.01%
45,521
+26,883
+144% +$14.3K
IMACW
138
DELISTED
IMAC Holdings, Inc. Warrant
IMACW
$17K ﹤0.01%
66,215
+41,902
+172% +$11.3K
ZIVOW
139
DELISTED
Zivo Bioscience, Inc. Warrants
ZIVOW
$17K ﹤0.01%
26,180
+6,739
+35% +$5.31K
DRMAW icon
140
Dermata Therapeutics Warrant
DRMAW
$16.3K
$16K ﹤0.01%
100,000
+48,601
+95% +$13.7K
ENVB icon
141
Enveric Biosciences
ENVB
$6.73M
$15K ﹤0.01%
+5
New +$22.1K
CRTDW
142
DELISTED
Creatd Inc. Warrant
CRTDW
$15K ﹤0.01%
49,086
+24,541
+100% +$9.98K
SRGA
143
DELISTED
Surgalign Holdings, Inc. Common Stock
SRGA
$15K ﹤0.01%
+1,667
New +$25.3K
NRSNW icon
144
NeuroSense Therapeutics Warrant
NRSNW
$2.76M
$14K ﹤0.01%
23,996
-42,610
-64% -$27K
PL.WS
145
DELISTED
Planet Labs PBC Warrants
PL.WS
$13K ﹤0.01%
10,000
– –
SMFL
146
DELISTED
Smart for Life, Inc. Common Stock
SMFL
$13K ﹤0.01%
+4
New +$14K
BTBDW icon
147
BT Brands Warrant
BTBDW
$143K
$12K ﹤0.01%
28,800
-3,937
-12% -$2.16K
ALLG.WS
148
DELISTED
Allego N.V. Warrants
ALLG.WS
$12K ﹤0.01%
+11,250
New +$13.3K
GOVXW
149
DELISTED
GeoVax Labs Warrants
GOVXW
$11K ﹤0.01%
24,381
+3,294
+16% +$2.55K
CLVRW
150
DELISTED
Clever Leaves Holdings Inc. Warrant
CLVRW
$11K ﹤0.01%
25,000
+6,314
+34% +$1.76K
4 5
6
7 8

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NPCM
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Warberg Asset Management's Q1 2022 Portfolio in Review

As of Q1 2022, Warberg Asset Management held 273 positions worth $649M, up 20% from $540M the previous quarter. Its ten largest holdings account for 65% of the portfolio.

Warberg Asset Management withdrew a net $127M in Q1 2022, closing 44 positions and reducing 26 holdings. Its most notable exit was Essential Utilities, Inc.6.00% Tangible Equity Units, an estimated $2.62M position sold in full.

By sector, the portfolio is most concentrated in Financials at 0.47% of assets, down from 0.5% a quarter earlier, followed by Consumer Discretionary and Real Estate.

Against the trend, Warberg Asset Management opened a new position in iShares 20+ Year Treasury Bond ETF worth $1.85M.

  • Warberg Asset Management's largest Q1 2022 buy was iShares 20+ Year Treasury Bond ETF: 14,000 shares worth $1.85M.
  • Warberg Asset Management added most to Occidental Petroleum Corp Warrants in Q1 2022, an estimated $19M increase.
  • Warberg Asset Management's biggest Q1 2022 reduction was Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A, cutting an estimated $2.49M.
  • Warberg Asset Management fully exited Essential Utilities, Inc.6.00% Tangible Equity Units in Q1 2022, selling an estimated $2.62M.
  • Warberg Asset Management's ten largest holdings make up 65% of its $649M portfolio in Q1 2022.
  • Warberg Asset Management opened 75 new positions and closed 44 in Q1 2022.
  • Warberg Asset Management's portfolio value rose 20% quarter-over-quarter to $649M.

Based on Warberg Asset Management's 13F filing for Q1 2022, filed 13 May 2022.