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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
+7.08%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$578M
AUM Growth
+$123M
Cap. Flow
-$32M
Cap. Flow %
-5.54%
Top 10 Hldgs %
63.86%
Holding
346
New
101
Increased
44
Reduced
42
Closed
52

Top Buys

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$8.6M
2
HTZWW
Hertz Global Holdings Warrants
HTZWW
+$4.23M
3
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$3.22M
4
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$2.96M
5
AAPL icon
Apple
AAPL
+$2.51M

Top Sells

Rank Stock Value
1
SWT
Stanley Black & Decker, Inc.
SWT
+$1.11M
2
PSTH
Pershing Square Tontine Holdings, Ltd.
PSTH
+$782K
3
SO icon
Southern Company
SO
+$713K
4
SOLN
The Southern Company
SOLN
+$604K
5
SJIV
South Jersey Industries, Inc. Corporate Units
SJIV
+$551K

Sector Composition

Rank Sector Weight
1 Financials 1.47%
2 Technology 0.65%
3 Consumer Discretionary 0.24%
4 Real Estate 0.22%
5 Healthcare 0.17%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BXRX
126
DELISTED
Baudax Bio, Inc. Common Stock
BXRX
$66K 0.01%
6,750
+5,887
+682% +$137K
TALKW
127
DELISTED
Talkspace Inc Warrant
TALKW
$65K 0.01%
243,725
-60,231
-20% -$18.8K
PXSAW
128
DELISTED
Pyxis Tankers Inc Warrant
PXSAW
$58K 0.01%
131,051
+38,466
+42% +$15.2K
LASE icon
129
Laser Photonics
LASE
$53.7M
$53K 0.01%
+20,000
New +$51.6K
SVREW
130
SaverOne 2014 Ltd Warrant
SVREW
$52K 0.01%
173,895
+27,843
+19% +$12.1K
ONFOW icon
131
Onfolio Holdings Warrant
ONFOW
$50.1K
$51K 0.01%
+282,828
New +$50.1K
ZIVOW
132
DELISTED
Zivo Bioscience, Inc. Warrants
ZIVOW
$51K 0.01%
84,654
+69,034
+442% +$57.8K
FGIWW
133
FGI Industries Warrant
FGIWW
$300K
$50K 0.01%
121,074
+1,500
+1% +$616
RBOT.WS
134
DELISTED
Vicarious Surgical Inc Warrants
RBOT.WS
$50K 0.01%
112,000
+100,000
+833% +$50.5K
MOBBW
135
Mobilicom Ltd Warrants
MOBBW
$1.99B
$48K 0.01%
+126,866
New +$48.9K
BEATW icon
136
Heartbeam Inc Warrant
BEATW
$59.1K
$47K 0.01%
80,000
+57,239
+251% +$22.8K
GMBL
137
DELISTED
Esports Entertainment Group Inc. Common Stock
GMBL
$46K 0.01%
+9
New +$141K
ASRT
138
DELISTED
Assertio
ASRT
$43K 0.01%
1,267
-866
-41% -$39.1K
IRD
139
Opus Genetics
IRD
$301M
$42K 0.01%
21,000
-3,200
-13% -$6.9K
ONFO icon
140
Onfolio Holdings
ONFO
$570K
$41K 0.01%
+35,000
New +$52K
KTTAW icon
141
Pasithea Therapeutics Warrants
KTTAW
$24.1K
$40K 0.01%
310,883
-300
-0.1% -$30
GCMGW
142
DELISTED
GCM Grosvenor Inc Warrant
GCMGW
$39K 0.01%
66,221
– –
BNCWW
143
CEA Industries Inc Warrant
BNCWW
$38K 0.01%
256,595
+22,000
+9% +$4.33K
SWAGW icon
144
Stran & Company Warrant
SWAGW
$36K 0.01%
154,575
– –
APCXW
145
DELISTED
AppTech Payments Corp Warrant
APCXW
$34K 0.01%
225,231
– –
MTEKW icon
146
Maris-Tech Ltd Warrants
MTEKW
$1.16M
$32K 0.01%
222,936
+3,000
+1% +$533
INAB icon
147
IN8bio
INAB
$9.45M
$30K 0.01%
+500
New +$33.6K
HCDIZ
148
DELISTED
Harbor Custom Development, Inc. Warrant
HCDIZ
$29K 0.01%
165,000
– –
AIMDW icon
149
Ainos Warrants
AIMDW
$84.9K
$27K ﹤0.01%
+35,500
New +$22.9K
VEV
150
DELISTED
Vicinity Motor Corp. Common Stock
VEV
$27K ﹤0.01%
27,157
-27,911
-51% -$35.3K
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 Q3 2022 Portfolio in Review

As of Q3 2022, Warberg Asset Management held 346 positions worth $578M, up 27% from $455M the previous quarter. Its ten largest holdings account for 64% of the portfolio.

Warberg Asset Management withdrew a net $32M in Q3 2022, closing 52 positions and reducing 42 holdings. Its most notable exit was Stanley Black & Decker, Inc., an estimated $1.11M position sold in full.

By sector, the portfolio is most concentrated in Financials at 1.5% of assets, up from 0.95% a quarter earlier, followed by Technology and Consumer Discretionary.

Against the trend, Warberg Asset Management opened a new position in Apple worth $2.21M.

  • Warberg Asset Management's largest Q3 2022 buy was Apple: 16,000 shares worth $2.21M.
  • Warberg Asset Management added most to Invesco QQQ Trust in Q3 2022, an estimated $8.6M increase.
  • Warberg Asset Management's biggest Q3 2022 reduction was South Jersey Industries, Inc. Corporate Units, cutting an estimated $551K.
  • Warberg Asset Management fully exited Stanley Black & Decker, Inc. in Q3 2022, selling an estimated $1.11M.
  • Warberg Asset Management's ten largest holdings make up 64% of its $578M portfolio in Q3 2022.
  • Warberg Asset Management opened 101 new positions and closed 52 in Q3 2022.
  • Warberg Asset Management's portfolio value rose 27% quarter-over-quarter to $578M.

Based on Warberg Asset Management's 13F filing for Q3 2022, filed 7 Nov 2022.