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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
+0.3%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$507M
AUM Growth
-$131M
Cap. Flow
-$367M
Cap. Flow %
-72.27%
Top 10 Hldgs %
67.23%
Holding
329
New
60
Increased
39
Reduced
52
Closed
80

Top Buys

Rank Stock Value
1
ICSH icon
iShares Ultra Short Duration Bond Active ETF
ICSH
+$1.54M
2
APTV.PRA
Aptiv PLC 5.50% Series A Mandatory Convertible Preferred Shares
APTV.PRA
+$1.12M
3
OAKUU
Oak Woods Acquisition Corp Unit
OAKUU
+$663K
4
MAQC
Maquia Capital Acquisition Corporation Class A Common Stock
MAQC
+$595K
5
FLOT icon
iShares Floating Rate Bond ETF
FLOT
+$534K

Top Sells

Rank Stock Value
1
SJIV
South Jersey Industries, Inc. Corporate Units
SJIV
+$10.7M
2
GFLU
GFL Environmental Inc. Tangible Equity Units
GFLU
+$4.92M
3
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$3.75M
4
QQQ icon
Invesco QQQ Trust
QQQ
+$1.62M
5
VNLA icon
Janus Henderson Short Duration Income ETF
VNLA
+$1.62M

Sector Composition

Rank Sector Weight
1 Financials 1.37%
2 Technology 0.4%
3 Industrials 0.23%
4 Consumer Discretionary 0.22%
5 Real Estate 0.18%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
APCXW
126
DELISTED
AppTech Payments Corp Warrant
APCXW
$28.9K 0.01%
101,428
-104,403
-51% -$42.1K
DWTX
127
Dogwood Therapeutics
DWTX
$61.5M
$27.5K 0.01%
2,990
-3,410
-53% -$27.1K
LEV.WS.A
128
DELISTED
The Lion Electric Company Warrants to purchase common shares
LEV.WS.A
$23.2K ﹤0.01%
39,298
-21,369
-35% -$17.1K
MOBBW
129
Mobilicom Ltd Warrants
MOBBW
$2.39B
$22.9K ﹤0.01%
127,366
– –
GMVD
130
DELISTED
G Medical Innovations Holdings Ltd. Ordinary Shares
GMVD
$22.8K ﹤0.01%
+25,000
New +$71.7K
BTBDW icon
131
BT Brands Warrant
BTBDW
$143K
$22.6K ﹤0.01%
132,808
+58,022
+78% +$9.06K
LABP
132
DELISTED
Landos Biopharma, Inc. Common Stock
LABP
$21.9K ﹤0.01%
+7,350
New +$27.1K
BNCWW
133
CEA Industries Inc Warrant
BNCWW
$44.7K
$21.3K ﹤0.01%
268,016
+3,921
+1% +$396
FRBK
134
DELISTED
Republic First Bancorp Inc
FRBK
$20.4K ﹤0.01%
15,000
– –
SKYAW
135
SkyAI Inc
SKYAW
$255K
$19.7K ﹤0.01%
151,799
+112,952
+291% +$24.1K
SLNAW
136
DELISTED
Selina Hospitality PLC Warrant
SLNAW
$19.5K ﹤0.01%
183,376
– –
IZM icon
137
ICZOOM Group
IZM
$3.12M
$19K ﹤0.01%
+11,000
New +$33.9K
SI
138
PUT
DELISTED
Silvergate Capital Corporation
SI
$18.6K ﹤0.01%
+11,500
New +$125K
SWAGW icon
139
Stran & Company Warrant
SWAGW
$108K
$18.5K ﹤0.01%
181,724
+13,230
+8% +$1.44K
HOLOW icon
140
MicroCloud Hologram Inc Warrant
HOLOW
$3.06M
$18.5K ﹤0.01%
154,049
-161,624
-51% -$26.8K
CINGW icon
141
Cingulate Inc Warrants
CINGW
$31.8K
$18.4K ﹤0.01%
105,151
-4,881
-4% -$1.14K
BBAI.WS icon
142
BigBear.ai Holdings Warrant
BBAI.WS
$43.4M
$17.9K ﹤0.01%
+67,000
New +$17.2K
SNAL icon
143
Snail Inc
SNAL
$37.1M
$17.3K ﹤0.01%
2,600
– –
NXLIW
144
DELISTED
Nexalin Technology Inc Warrant
NXLIW
$15.8K ﹤0.01%
166,483
– –
SIEN
145
DELISTED
Sientra, Inc.
SIEN
$15.4K ﹤0.01%
+10,000
New +$17.8K
AUROW
146
Aurora Innovation Warrant
AUROW
$370M
$13.9K ﹤0.01%
70,009
-100
-0.1% -$24
CMRAW
147
DELISTED
Comera Life Sciences Holdings, Inc. Warrant expiring 5/19/2027
CMRAW
$13.7K ﹤0.01%
300,000
-5,440
-2% -$269
VRPX
148
DELISTED
Virpax Pharmaceuticals, Inc. Common Stock
VRPX
$13.4K ﹤0.01%
68
– –
STIXW
149
DELISTED
Semantix, Inc. Warrant
STIXW
$12.9K ﹤0.01%
+95,600
New +$8.25K
HUBCW icon
150
Hub Cyber Security Warrant 2/27/28
HUBCW
$205K
$12.5K ﹤0.01%
+100,000
New +$13.6K
4 5
6
7 8

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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 Q1 2023 Portfolio in Review

As of Q1 2023, Warberg Asset Management held 329 positions worth $507M, down 21% from $638M the previous quarter. Its ten largest holdings account for 67% of the portfolio.

Warberg Asset Management withdrew a net $367M in Q1 2023, closing 80 positions and reducing 52 holdings. Its most notable exit was South Jersey Industries, Inc. Corporate Units, an estimated $10.7M position sold in full.

By sector, the portfolio is most concentrated in Financials at 1.4% of assets, up from 1.2% a quarter earlier, followed by Technology and Industrials.

Against the trend, Warberg Asset Management opened a new position in iShares Ultra Short Duration Bond Active ETF worth $1.54M.

  • Warberg Asset Management's largest Q1 2023 buy was iShares Ultra Short Duration Bond Active ETF: 30,744 shares worth $1.54M.
  • Warberg Asset Management added most to Expand Energy Corp Class A Warrants in Q1 2023, an estimated $481K increase.
  • Warberg Asset Management's biggest Q1 2023 reduction was Occidental Petroleum Corp Warrants, cutting an estimated $3.75M.
  • Warberg Asset Management fully exited South Jersey Industries, Inc. Corporate Units in Q1 2023, selling an estimated $10.7M.
  • Warberg Asset Management's ten largest holdings make up 67% of its $507M portfolio in Q1 2023.
  • Warberg Asset Management opened 60 new positions and closed 80 in Q1 2023.
  • Warberg Asset Management's portfolio value fell 21% quarter-over-quarter to $507M.

Based on Warberg Asset Management's 13F filing for Q1 2023, filed 15 May 2023.