WAM

Warberg Asset Management Portfolio holdings

AUM $357M
1-Year Est. Return 16.73%
This Quarter Est. Return
1 Year Est. Return
+16.73%
3 Year Est. Return
5 Year Est. Return
10 Year Est. Return
AUM
$408M
AUM Growth
+$42.3M
Cap. Flow
Cap. Flow %
Top 10 Hldgs %
Holding
249
New
Increased
Reduced
Closed

Top Buys

1
+$2.58M
2
+$1.84M
3
+$1.22M
4
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$1.21M
5
EPR.PRC icon
EPR Properties 5.75% Series C Preferred Shares
EPR.PRC
+$1.15M

Top Sells

1
+$2.81M
2
+$1.13M
3
+$905K
4
GTLS.PRB icon
Chart Industries 6.75% Series B 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 Change
in Stake 		Capital Flow
CYPH
126
Cypherpunk Technologies Inc
CYPH
$156M
– –
-15,000
MDAIW icon
127
Spectral AI Warrants
MDAIW
$5.07M
– –
-20,000
MSFT icon
128
Microsoft
MSFT
$3.79T
– –
0
POET icon
129
POET Technologies
POET
$550M
– –
0
PTIXW icon
130
Protagenic Therapeutics Warrant
PTIXW
– –
-170,242
PXSAW
131
DELISTED
Pyxis Tankers Inc Warrant
PXSAW
– –
-104,611
QQQ icon
132
Invesco QQQ Trust
QQQ
$387B
– –
-6,000
RBOT.WS icon
133
Vicarious Surgical Inc Warrants
RBOT.WS
– –
-112,000
RIVN icon
134
Rivian
RIVN
$18.5B
– –
0
RNAZ icon
135
TransCode Therapeutics
RNAZ
$8.47M
– –
-1,786
SBEV.WS
136
DELISTED
Splash Beverage Group, Inc. Warrants to purchase 1/40th of a share of Common Stock at an exercise price of $184.00
SBEV.WS
– –
-70,150
SBUX icon
137
Starbucks
SBUX
$96.4B
– –
-4,500
SGOV icon
138
iShares 0-3 Month Treasury Bond ETF
SGOV
$57.6B
– –
-11,265
SLV icon
139
iShares Silver Trust
SLV
$24.7B
– –
0
SPY icon
140
SPDR S&P 500 ETF Trust
SPY
$667B
– –
0
TNONW icon
141
Tenon Medical Inc Warrant
TNONW
$109K
– –
-22,587
TSLA icon
142
Tesla
TSLA
$1.34T
– –
0
UAL icon
143
United Airlines
UAL
$30.8B
– –
0
VTAK icon
144
Catheter Precision
VTAK
$2.89M
– –
-9,479
FGMCU
145
FG Merger II Corp Unit
FGMCU
– –
-25,000
ATIIU
146
Archimedes Tech SPAC Partners II Co Unit
ATIIU
– –
-10,000
TDACW
147
Translational Development Acquisition Corp Warrants
TDACW
$3.02M
– –
-16,360
DMAAR
148
Drugs Made In America Acquisition Corp Rights
DMAAR
– –
-18,443
CAPS
149
Capstone Holding Corp
CAPS
$7.99M
– –
-11,000
SMR icon
150
NuScale Power
SMR
$3.76B
– –
-10,501
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6
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