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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
-1.72%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$455M
AUM Growth
-$194M
Cap. Flow
-$241M
Cap. Flow %
-52.97%
Top 10 Hldgs %
59.59%
Holding
296
New
69
Increased
53
Reduced
33
Closed
45

Top Buys

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$6.55M
2
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$6.29M
3
EXEEL
Expand Energy Corp Class C Warrants
EXEEL
+$6.04M
4
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$2.45M
5
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$2.27M

Top Sells

Rank Stock Value
1
DHR.PRA
Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A
DHR.PRA
+$26.2M
2
AVTR.PRA
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
+$13.4M
3
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$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

Rank Sector Weight
1 Financials 0.95%
2 Real Estate 0.3%
3 Utilities 0.29%
4 Healthcare 0.2%
5 Technology 0.19%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
DTSTW
126
DELISTED
Data Storage Corp Warrant
DTSTW
$25K 0.01%
105,312
+23,900
+29% +$9.78K
GCMGW
127
DELISTED
GCM Grosvenor Inc Warrant
GCMGW
$25K 0.01%
66,221
-31,920
-33% -$26.8K
PSHG icon
128
Performance Shipping
PSHG
$21.6M
$25K 0.01%
+3,000
New +$86K
AGRIW
129
DELISTED
AgriFORCE Growing Systems Ltd Warrant
AGRIW
$24K 0.01%
65,001
+32,500
+100% +$15.6K
PXSAW
130
DELISTED
Pyxis Tankers Inc Warrant
PXSAW
$22K ﹤0.01%
92,585
-200
-0.2% -$51
EZRAW
131
DELISTED
Reliance Global Series A Warrants
EZRAW
$22K ﹤0.01%
59,593
-36,089
-38% -$17.3K
MOBQW
132
DELISTED
Mobiquity Technologies, Inc. Warrant
MOBQW
$22K ﹤0.01%
80,208
-13,986
-15% -$3.34K
NYMX
133
DELISTED
Nymox Pharmaceutical Corp
NYMX
$22K ﹤0.01%
50,500
+25,925
+105% +$23.8K
ENJY
134
DELISTED
Enjoy Technology, Inc. Common Stock
ENJY
$22K ﹤0.01%
+99,150
New +$116K
BBLGW
135
Bone Biologics Corp Warrants
BBLGW
$21K ﹤0.01%
3,652
– –
CRXT
136
DELISTED
Clarus Therapeutics Holdings, Inc. Common Stock
CRXT
$21K ﹤0.01%
+55,000
New +$38.5K
KTTAW icon
137
Pasithea Therapeutics Warrants
KTTAW
$20K ﹤0.01%
311,183
+11,275
+4% +$1.41K
NNAVW
138
DELISTED
NextNav Inc Warrant
NNAVW
$20K ﹤0.01%
47,000
+7,000
+18% +$7.49K
NXXT
139
NextNRG Inc
NXXT
$45.6M
$20K ﹤0.01%
1,250
+100
+9% +$1.29K
TCBPW
140
DELISTED
TC BioPharm (Holdings) plc Warrants
TCBPW
$18K ﹤0.01%
86,667
-1,600
-2% -$502
DRCTW
141
DELISTED
Direct Digital Holdings, Inc. Warrant
DRCTW
$17K ﹤0.01%
44,116
+9,056
+26% +$4.16K
BOXD.WS
142
DELISTED
Boxed, Inc. Warrants, each whole warrant exercisable to purchase one share of Common Stock at an exercise price of $11.50 per share
BOXD.WS
$17K ﹤0.01%
78,500
-31,500
-29% -$26.5K
SLNO
143
DELISTED
Soleno Therapeutics
SLNO
$16K ﹤0.01%
6,000
+4,200
+233% +$11.6K
TLSA icon
144
Tiziana Life Sciences
TLSA
$131M
$16K ﹤0.01%
22,000
– –
TRKAW
145
DELISTED
Troika Media Group, Inc. Warrant
TRKAW
$15K ﹤0.01%
208,917
-118,990
-36% -$15.2K
PSTV icon
146
Plus Therapeutics
PSTV
$26.6M
$14K ﹤0.01%
+67
New +$16.7K
ABTC
147
American Bitcoin Corp
ABTC
$403M
$14K ﹤0.01%
+3
New +$51.5K
GOEVW
148
DELISTED
Canoo Inc. Warrant
GOEVW
$14K ﹤0.01%
49,588
– –
USWS
149
DELISTED
U.S. Well Services, Inc. Class A Common Stock
USWS
$14K ﹤0.01%
+2,500
New +$12.5K
ANGHW icon
150
Anghami Inc Warrants
ANGHW
$13K ﹤0.01%
50,677
+1,000
+2% +$433
4 5
6
7 8

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SCM
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OCAM
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NPCM
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FSG
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CIG
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Warberg Asset Management's Q2 2022 Portfolio in Review

As of Q2 2022, Warberg Asset Management held 296 positions worth $455M, down 30% from $649M the previous quarter. Its ten largest holdings account for 60% of the portfolio.

Warberg Asset Management withdrew a net $241M in Q2 2022, closing 45 positions and reducing 33 holdings. Its most notable exit was Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A, an estimated $26.2M position sold in full.

By sector, the portfolio is most concentrated in Financials at 0.95% of assets, up from 0.47% a quarter earlier, followed by Real Estate and Utilities.

Against the trend, Warberg Asset Management opened a new position in State Street SPDR S&P 500 ETF Trust worth $6.04M.

  • Warberg Asset Management's largest Q2 2022 buy was State Street SPDR S&P 500 ETF Trust: 16,000 shares worth $6.04M.
  • Warberg Asset Management added most to Occidental Petroleum Corp Warrants in Q2 2022, an estimated $6.29M increase.
  • Warberg Asset Management's biggest Q2 2022 reduction was The Southern Company, cutting an estimated $555K.
  • Warberg Asset Management fully exited Danaher Corporation 4.75% Mandatory Convertible Preferred Stock, Series A in Q2 2022, selling an estimated $26.2M.
  • Warberg Asset Management's ten largest holdings make up 60% of its $455M portfolio in Q2 2022.
  • Warberg Asset Management opened 69 new positions and closed 45 in Q2 2022.
  • Warberg Asset Management's portfolio value fell 30% quarter-over-quarter to $455M.

Based on Warberg Asset Management's 13F filing for Q2 2022, filed 11 Aug 2022.