WAM

Warberg Asset Management Portfolio holdings

AUM $408M
1-Year Return 10.11%
This Quarter Return
+1.28%
1 Year Return
+10.11%
3 Year Return
+19.63%
5 Year Return
–
10 Year Return
–
AUM
$408M
AUM Growth
+$42.3M
Cap. Flow
-$332M
Cap. Flow %
-81.42%
Top 10 Hldgs %
49.01%
Holding
249
New
41
Increased
16
Reduced
24
Closed
51

Top Buys

1
PARA
Paramount Global Class B
PARA
$2.58M
2
STXS icon
Stereotaxis
STXS
$1.84M
3
EXEEL
Expand Energy Corporation Class C Warrants
EXEEL
$1.22M
4
OXY.WS icon
Occidental Petroleum Corporation Warrants to Purchase Common Stock
OXY.WS
$1.21M
5
EPR.PRC icon
EPR Properties 5.75% Series C Cumulative Convertible Preferred Shares
EPR.PRC
$1.15M

Top Sells

1
QQQ icon
Invesco QQQ Trust
QQQ
$2.81M
2
SGOV icon
iShares 0-3 Month Treasury Bond ETF
SGOV
$1.13M
3
CLRC
ClimateRock Class A Ordinary Shares
CLRC
$905K
4
GTLS.PRB icon
Chart Industries, Inc. Depositary Shares, each Representing a 1/20th Interest in a Share of 6.75% Series B Mandatory Convertible Preferred Stock
GTLS.PRB
$789K
5
APO.PRA icon
Apollo Global Management Series A
APO.PRA
$768K

Sector Composition

1 Financials 3.2%
2 Healthcare 0.67%
3 Communication Services 0.63%
4 Real Estate 0.19%
5 Technology 0.1%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
DSX.WS icon
126
Diana Shipping Inc. Warrants to Purchase Common Stock (expiring on or about December 14, 2026)
DSX.WS
$15.1M
– –
-198,728
Closed -$21.7K
EQIX icon
127
Equinix
EQIX
$75B
– –
0
– –
FPAY icon
128
FlexShopper
FPAY
$17.7M
– –
-16,493
Closed -$21.6K
GDX icon
129
VanEck Gold Miners ETF
GDX
$19.4B
– –
0
– –
GDXJ icon
130
VanEck Junior Gold Miners ETF
GDXJ
$6.81B
– –
-6,750
Closed -$386K
GLD icon
131
SPDR Gold Trust
GLD
$110B
– –
0
– –
GME icon
132
GameStop
GME
$10.1B
– –
0
– –
GTLS.PRB icon
133
Chart Industries, Inc. Depositary Shares, each Representing a 1/20th Interest in a Share of 6.75% Series B Mandatory Convertible Preferred Stock
GTLS.PRB
$571M
– –
-14,408
Closed -$789K
HIMS icon
134
Hims & Hers Health
HIMS
$10.8B
– –
0
– –
HOOD icon
135
Robinhood
HOOD
$92.1B
– –
0
– –
HUMA icon
136
Humacyte
HUMA
$228M
– –
-10,000
Closed -$17.1K
IBIT icon
137
iShares Bitcoin Trust
IBIT
$81.9B
– –
0
– –
IIPR icon
138
Innovative Industrial Properties
IIPR
$1.58B
– –
0
– –
KTTAW icon
139
Pasithea Therapeutics Corp. Warrants
KTTAW
$43.6K
– –
-100,000
Closed -$2.03K
LPTX icon
140
Leap Therapeutics
LPTX
$11.5M
– –
-15,000
Closed -$4.58K
MDAIW icon
141
Spectral AI, Inc. Warrants
MDAIW
$5.9M
– –
-20,000
Closed -$5.14K
MSFT icon
142
Microsoft
MSFT
$3.77T
– –
0
– –
MU icon
143
Micron Technology
MU
$138B
– –
0
– –
NN icon
144
NextNav
NN
$2.12B
– –
0
– –
NNAVW
145
NextNav Inc. Warrant
NNAVW
$65M
– –
-24,999
Closed -$110K
NRSN icon
146
NeuroSense Therapeutics
NRSN
$27M
– –
-10,700
Closed -$9.95K
NRSNW icon
147
NeuroSense Therapeutics Ltd. Warrant
NRSNW
$12.8M
– –
-10,000
Closed -$2.05K
NXPL icon
148
NextPlat
NXPL
$18.2M
– –
-12,500
Closed -$10.4K
OEF icon
149
iShares S&P 100 ETF
OEF
$22.2B
– –
0
– –
OXY icon
150
Occidental Petroleum
OXY
$45.9B
– –
0
– –
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6
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