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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
+1.52%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$638M
AUM Growth
+$60.1M
Cap. Flow
-$164M
Cap. Flow %
-25.73%
Top 10 Hldgs %
75.41%
Holding
356
New
64
Increased
35
Reduced
46
Closed
83

Top Buys

Rank Stock Value
1
SJIV
South Jersey Industries, Inc. Corporate Units
SJIV
+$9.41M
2
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$1.65M
3
HTZWW
Hertz Global Holdings Warrants
HTZWW
+$724K
4
ELAT
Elanco Animal Health Incorporated 5.00% Tangible Equity Units
ELAT
+$712K
5
PXSAP
Pyxis Tankers Inc. 7.75% Series A Cumulative Convertible Preferred Shares
PXSAP
+$691K

Top Sells

Rank Stock Value
1
EXEEW
Expand Energy Corp Class A Warrants
EXEEW
+$34.5M
2
EXEEL
Expand Energy Corp Class C Warrants
EXEEL
+$24.2M
3
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$18.5M
4
QQQ icon
Invesco QQQ Trust
QQQ
+$8.3M
5
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$8.07M

Sector Composition

Rank Sector Weight
1 Financials 1.2%
2 Technology 0.39%
3 Real Estate 0.28%
4 Healthcare 0.22%
5 Industrials 0.17%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NXLIW
126
DELISTED
Nexalin Technology Inc Warrant
NXLIW
$33.3K 0.01%
166,483
+125,764
+309% +$22.7K
GROM
127
DELISTED
Grom Social Enterprises Inc. Common Stock
GROM
$32.3K 0.01%
+1,050
New +$131K
FRBK
128
DELISTED
Republic First Bancorp Inc
FRBK
$32.3K 0.01%
+15,000
New +$39.8K
ICUCW
129
SeaStar Medical Holding Corp Warrant
ICUCW
$334K
$31.6K 0.01%
+351,211
New +$35K
NCPLW icon
130
Netcapital Inc Warrants
NCPLW
$11.8K
$31.3K ﹤0.01%
105,000
+15,540
+17% +$5.17K
APCXW
131
DELISTED
AppTech Payments Corp Warrant
APCXW
$29.6K ﹤0.01%
205,831
-19,400
-9% -$3.15K
CINGW icon
132
Cingulate Inc Warrants
CINGW
$46.8K
$26.4K ﹤0.01%
110,032
– –
CTM icon
133
Castellum
CTM
$74.9M
$25.2K ﹤0.01%
+20,000
New +$20.6K
BNCWW
134
CEA Industries Inc Warrant
BNCWW
$23.8K ﹤0.01%
264,095
+7,500
+3% +$1.06K
ASPI icon
135
ASP Isotopes
ASPI
$540M
$23.5K ﹤0.01%
+14,848
New +$29.3K
MTEKW icon
136
Maris-Tech Ltd Warrants
MTEKW
$1.16M
$22.3K ﹤0.01%
223,236
+300
+0.1% +$35
IBIO icon
137
iBio
IBIO
$72.5M
$22.2K ﹤0.01%
+2,500
New +$84.6K
HOLOW icon
138
MicroCloud Hologram Inc Warrant
HOLOW
$3.06M
$22.1K ﹤0.01%
315,673
+215,353
+215% +$14.6K
STXS icon
139
Stereotaxis
STXS
$141M
$20.6K ﹤0.01%
10,000
– –
PKBOW
140
DELISTED
Peak Bio, Inc. Warrant
PKBOW
$20.5K ﹤0.01%
+101,345
New +$19K
SWAGW icon
141
Stran & Company Warrant
SWAGW
$19.5K ﹤0.01%
168,494
+13,919
+9% +$2.27K
SVREW
142
SaverOne 2014 Ltd Warrant
SVREW
$19.4K ﹤0.01%
194,497
+20,602
+12% +$4.14K
SNAL icon
143
Snail Inc
SNAL
$34.7M
$19.1K ﹤0.01%
+2,600
New +$29.3K
RBOT.WS
144
DELISTED
Vicarious Surgical Inc Warrants
RBOT.WS
$19K ﹤0.01%
112,000
– –
GCMGW
145
DELISTED
GCM Grosvenor Inc Warrant
GCMGW
$18.9K ﹤0.01%
43,042
-23,179
-35% -$14K
HYMCW
146
DELISTED
Hycroft Mining Holding Corporation Warrant
HYMCW
$18.7K ﹤0.01%
+250,000
New +$20.3K
NVTA
147
CALL
DELISTED
Invitae Corporation
NVTA
$18.6K ﹤0.01%
10,000
-20,000
-67% -$48.8K
EVGOW
148
DELISTED
EVgo Inc Warrants
EVGOW
$17.3K ﹤0.01%
25,500
-39,600
-61% -$55.7K
DTSTW
149
DELISTED
Data Storage Corp Warrant
DTSTW
$16.8K ﹤0.01%
105,312
– –
SLNAW
150
DELISTED
Selina Hospitality PLC Warrant
SLNAW
$14.7K ﹤0.01%
+183,376
New +$33.4K
4 5
6
7 8

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BHPW
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CCP
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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 Q4 2022 Portfolio in Review

As of Q4 2022, Warberg Asset Management held 356 positions worth $638M, up 10% from $578M the previous quarter. Its ten largest holdings account for 75% of the portfolio.

Warberg Asset Management withdrew a net $164M in Q4 2022, closing 83 positions and reducing 46 holdings. Its most notable exit was Expand Energy Corp Class B Warrants, an estimated $18.5M position sold in full.

By sector, the portfolio is most concentrated in Financials at 1.2% of assets, down from 1.5% a quarter earlier, followed by Technology and Real Estate.

Against the trend, Warberg Asset Management opened a new position in Janus Henderson Short Duration Income ETF worth $1.62M.

  • Warberg Asset Management's largest Q4 2022 buy was Janus Henderson Short Duration Income ETF: 34,175 shares worth $1.62M.
  • Warberg Asset Management added most to South Jersey Industries, Inc. Corporate Units in Q4 2022, an estimated $9.41M increase.
  • Warberg Asset Management's biggest Q4 2022 reduction was Expand Energy Corp Class A Warrants, cutting an estimated $34.5M.
  • Warberg Asset Management fully exited Expand Energy Corp Class B Warrants in Q4 2022, selling an estimated $18.5M.
  • Warberg Asset Management's ten largest holdings make up 75% of its $638M portfolio in Q4 2022.
  • Warberg Asset Management opened 64 new positions and closed 83 in Q4 2022.
  • Warberg Asset Management's portfolio value rose 10% quarter-over-quarter to $638M.

Based on Warberg Asset Management's 13F filing for Q4 2022, filed 13 Feb 2023.