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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
+0.9%
1 Year Est. Return
+23.37%
3 Year Est. Return
+49.78%
5 Year Est. Return
+106.43%
10 Year Est. Return
–
AUM
$603M
AUM Growth
+$95.1M
Cap. Flow
-$108M
Cap. Flow %
-17.85%
Top 10 Hldgs %
72.31%
Holding
314
New
63
Increased
45
Reduced
48
Closed
75

Top Buys

Rank Stock Value
1
HTZWW
Hertz Global Holdings Warrants
HTZWW
+$1.67M
2
EPR.PRC icon
EPR Properties 5.75% Series C Preferred Shares
EPR.PRC
+$751K
3
EXEEL
Expand Energy Corp Class C Warrants
EXEEL
+$733K
4
HUDA
Hudson Acquisition I Corp. Common Stock
HUDA
+$718K
5
NEN icon
New England Realty Associates
NEN
+$675K

Top Sells

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
+$1.11M
3
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$947K
4
PXSAP
Pyxis Tankers Inc. 7.75% Series A Cumulative Convertible Preferred Shares
PXSAP
+$694K
5
OAKUU
Oak Woods Acquisition Corp Unit
OAKUU
+$663K

Sector Composition

Rank Sector Weight
1 Financials 1.39%
2 Technology 0.29%
3 Real Estate 0.27%
4 Industrials 0.17%
5 Energy 0.11%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SKYAW
126
SkyAI Inc
SKYAW
$263K
$22.8K ﹤0.01%
164,882
+13,083
+9% +$1.92K
SNAL icon
127
Snail Inc
SNAL
$41.9M
$20.7K ﹤0.01%
2,600
– –
NXLIW
128
DELISTED
Nexalin Technology Inc Warrant
NXLIW
$18.3K ﹤0.01%
166,483
– –
LEV.WS.A
129
DELISTED
The Lion Electric Company Warrants to purchase common shares
LEV.WS.A
$18.3K ﹤0.01%
39,298
– –
EMPD
130
Empery Digital
EMPD
$79.8M
– –
0
– –
MTEKW icon
131
Maris-Tech Ltd Warrants
MTEKW
$15.7K ﹤0.01%
223,596
-957
-0.4% -$65
NRSNW icon
132
NeuroSense Therapeutics Warrant
NRSNW
$15.4K ﹤0.01%
77,709
-56
-0.1% -$18
BBAI.WS icon
133
BigBear.ai Holdings Warrant
BBAI.WS
$38.4M
$15.3K ﹤0.01%
66,700
-300
-0.4% -$71
NCPLW icon
134
Netcapital Inc Warrants
NCPLW
$15.3K ﹤0.01%
148,578
+43,578
+42% +$6K
NOGN
135
DELISTED
Nogin, Inc. Common Stock
NOGN
$15.1K ﹤0.01%
+11,500
New +$21K
SWAGW icon
136
Stran & Company Warrant
SWAGW
$13.7K ﹤0.01%
181,824
+100
+0.1% +$8
ICUCW
137
SeaStar Medical Holding Corp Warrant
ICUCW
$324K
$13.4K ﹤0.01%
366,010
-1
-0% –
PGYWW
138
Pagaya Technologies Ltd Warrants
PGYWW
$1.38M
$12.9K ﹤0.01%
49,680
-78,458
-61% -$8.72K
GMVD
139
DELISTED
G Medical Innovations Holdings Ltd. Ordinary Shares
GMVD
$12.6K ﹤0.01%
33,000
+8,000
+32% +$3.6K
BNCWW
140
CEA Industries Inc Warrant
BNCWW
$12.2K ﹤0.01%
230,836
-37,180
-14% -$2.02K
IVDAW icon
141
Iveda Solutions Warrant
IVDAW
$10.7K ﹤0.01%
49,413
+19,900
+67% +$5.1K
DTSTW
142
DELISTED
Data Storage Corp Warrant
DTSTW
$10.4K ﹤0.01%
57,764
-15,860
-22% -$1.59K
GCTK icon
143
GlucoTrack
GCTK
$3.68M
$10.4K ﹤0.01%
+5
New +$18K
AUROW
144
Aurora Innovation Warrant
AUROW
$352M
$10K ﹤0.01%
20,000
-50,009
-71% -$12K
SLNAW
145
DELISTED
Selina Hospitality PLC Warrant
SLNAW
$9.54K ﹤0.01%
209,776
+26,400
+14% +$1.91K
ZURAW
146
DELISTED
Zura Bio Limited Warrants
ZURAW
$9.04K ﹤0.01%
+25,818
New +$9.11K
HOLOW icon
147
MicroCloud Hologram Inc Warrant
HOLOW
$2.64M
$9K ﹤0.01%
75,775
-78,274
-51% -$8.41K
FREEW
148
DELISTED
Whole Earth Brands, Inc. Warrant
FREEW
$8.98K ﹤0.01%
+44,902
New +$4.84K
BIAFW icon
149
bioAffinity Technologies
BIAFW
$151K
$8.9K ﹤0.01%
24,626
– –
AIMDW icon
150
Ainos Warrants
AIMDW
$8.7K ﹤0.01%
30,295
-300
-1% -$85
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 Q2 2023 Portfolio in Review

As of Q2 2023, Warberg Asset Management held 314 positions worth $603M, up 19% from $507M the previous quarter. Its ten largest holdings account for 72% of the portfolio.

Warberg Asset Management withdrew a net $108M in Q2 2023, closing 75 positions and reducing 48 holdings. Its most notable exit was iShares Ultra Short Duration Bond Active ETF, an estimated $1.54M position sold in full.

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

Against the trend, Warberg Asset Management opened a new position in EPR Properties 5.75% Series C Preferred Shares worth $814K.

  • Warberg Asset Management's largest Q2 2023 buy was EPR Properties 5.75% Series C Preferred Shares: 38,600 shares worth $814K.
  • Warberg Asset Management added most to Hertz Global Holdings Warrants in Q2 2023, an estimated $1.67M increase.
  • Warberg Asset Management's biggest Q2 2023 reduction was Occidental Petroleum Corp Warrants, cutting an estimated $947K.
  • Warberg Asset Management fully exited iShares Ultra Short Duration Bond Active ETF in Q2 2023, selling an estimated $1.54M.
  • Warberg Asset Management's ten largest holdings make up 72% of its $603M portfolio in Q2 2023.
  • Warberg Asset Management opened 63 new positions and closed 75 in Q2 2023.
  • Warberg Asset Management's portfolio value rose 19% quarter-over-quarter to $603M.

Based on Warberg Asset Management's 13F filing for Q2 2023, filed 9 Aug 2023.