WAM

Warberg Asset Management Portfolio holdings

AUM $357M
1-Year Est. Return 16.73%
This Quarter Est. Return
1 Year Est. Return
+16.73%
3 Year Est. Return
5 Year Est. Return
10 Year Est. Return
AUM
$296M
AUM Growth
-$142M
Cap. Flow
Cap. Flow %
Top 10 Hldgs %
Holding
295
New
Increased
Reduced
Closed

Top Buys

1
+$6.04M
2
+$5.9M
3
+$5.2M
4
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$2.14M
5
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$1.97M

Top Sells

1
+$26.2M
2
+$13.4M
3
+$1.85M
4
SABRP
Sabre Corporation 6.50% Series A Mandatory Convertible Preferred Stock
SABRP
+$763K
5
RCA
Ready Capital Corporation 7.00% Convertible Senior Notes due 2023
RCA
+$743K

Sector Composition

1 Financials 1.45%
2 Real Estate 0.47%
3 Utilities 0.45%
4 Healthcare 0.32%
5 Technology 0.3%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
126
$11K ﹤0.01%
+38,847
127
$11K ﹤0.01%
89,400
-72,846
128
$10K ﹤0.01%
16,954
-21,046
129
$10K ﹤0.01%
+13,451
130
$10K ﹤0.01%
+20,000
131
$10K ﹤0.01%
90,000
+45,000
132
$9K ﹤0.01%
10,000
133
$9K ﹤0.01%
+50,363
134
$9K ﹤0.01%
+11,500
135
$9K ﹤0.01%
86,667
+36,667
136
$9K ﹤0.01%
77,770
+34,770
137
$9K ﹤0.01%
15,620
-10,560
138
$9K ﹤0.01%
48,336
-750
139
$8K ﹤0.01%
22,761
-22,760
140
$8K ﹤0.01%
+2
141
$8K ﹤0.01%
90,000
+45,000
142
$8K ﹤0.01%
2,546
-5
143
$8K ﹤0.01%
87,348
+43,600
144
$7K ﹤0.01%
+28,650
145
$7K ﹤0.01%
85,700
+42,500
146
$7K ﹤0.01%
90,100
+45,000
147
$7K ﹤0.01%
80,000
+40,000
148
$7K ﹤0.01%
28,450
149
$7K ﹤0.01%
85,000
+42,500
150
– –
0
4 5
6
7 8